Compliance and Enforcement Newsletter - November 2023
Nov 29, 2023 2:41:36 PM
Here's an overview of our monthly compliance and enforcement updates:
- Seriously incompetent pensions advisor handed ban and £200k fine
- FCA secures confiscation order against convicted CFO
- Global regulators foster digital innovation with Project Guardian
How can we help you?
If you’d like to know more about how we can help you with your compliance arrangements, or any other regulatory compliance issues, our specialist team is here to help.
Contact us today on 0207 436 0630 or email info@thistleinitiatives.co.uk.