Writing

Approved Persons

• Complaints
• Treating Customers Fairly
• Financial Promotions
• Financial Advice and the Sales Process
• Banking
• General Insurance
• Financial Crime, Inducements, Market Abuse and Money Laundering
• Investment Management and Wholesale
• Approved Persons
• Corporate Management
• Regulation Generally
• Ethics
• Pensions Review
• Four Compliance Tips 2012-2015
• Other Topics and Older Pieces

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