Approved Persons

Back to writing.

If you would like to obtain any of the following publications please contact Adam.

For a complete list of all articles on Approved Persons please download the pdf

"Why the SMCR will not work" Compliance Monitor, 8 November 2019

"Tinney in the tribunal -troubling issues " Compliance Monitor, 7 October 2019

"The APER Principles, the February 1st cases about the companies and people whose lives were wrecked by Shay Reches" (RBS report), Compliance Resource Network, 11 March 2016

"Julien Grout fails to stop termination of FCA's Whale investigation into him ", Complinet, 12 March 2015

"The Upper Tribunal and High Court tackles conflicts of interest, integrity and dishonesty issues at Arch Financial Products LLP", Compliance Resource Network, 23 January 2015

"Angela Burns, the conflicted non-executive director", Complinet, 18 December 2014

"The Upper Tribunal taking a different tack to the FSA on fitness and propriety", Compliance Resource Network, 16 January 2012

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