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Corporate Management publications

Corporate Management Publications

“The Standard Life 2019 Final Notice – another zeitgeist moment”, Compliance Monitor, 4 Septeber 201

“The final report into RBS’s GRG – regulator says its hands are tied”, Compliance Monitor, 4 September 2019

“The FCA’s Annual Report in a nutshell”, Compliance Resource Network, 22 July 2019

“The first annual FCA Perimeter Report”, Compliance Resource Network, 12 July 2019

“The UK’s FCA reports on the impact of Innovate, its high-tech work”, Compliance Resource Network, 29 May 2019

“The LCF regulatory quagmire”, Compliance Monitor, 4 June 2019

“Upper Tribunal tackles directors’ duties”, Compliance Monitor, 5 October 2018

“The robo-compliance officer”, Compliance Monitor, 12 July 2017

“Will COCON transform financial services conduct?”, Compliance Monitor, 12 June 2017

“The compliant management of chaos”, Compliance Monitor, 3 October 2016

“What have the Europeans ever done for us? (Plenty)”, Compliance Monitor, 5 July 2016

“A flurry of February enforcement decisions”, Compliance Monitor, 1 March 2016

“Competition Act voluntary redress schemes – draft guidance: something of rather greater importance than it appears”, Compliance Resource Network, 17 February 2016

“The FCA finally manages to defend successfully a banker’s attempt to obtain third party rights from the Upper Tribunal”, Compliance Resource Network, 11 February 2016

“Moving retreads around”, Financial Adviser, 3 February 2016

“The CF10 whistleblower”, Compliance Resource Network, 14 August 2015

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

“Culture and Compliance”, Compliance Resource Network, 19 July 2013

“The FSA tackling the really tough nut of incentive schemes”, Compliance Resource Network, 12 Sept 2012

“Exillon Energy – a case of related party transactions and the Listing Rules”, Compliance Resource Network, 3 May 2012

“PS 12/5 – the RDR and Solvency 2 – more final rules”, Compliance Resource Network, 3 April 2012

“The BDO final censure for accepting inappropriate instructions as a listing sponsor – a lesson for the wider compliance community”, Compliance Resource Network 6 June 2011

“Remuneration & the FSA – the cart in front of just about everything”, Compliance Monitor, April 2009

“CP08/20: the prudential rules for personal investment firms”, Complinet, 1 December 2008

“Liberata fine sends warning shot to back office administrators”, Complinet, 14 April 2008

“Blake final notice and more leaky capital”, Complinet, 25 March 2008

“Litaid, the tribunal on PI cover and the RMAR”, Complinet, 13 February 2008

“Norwich Union fined for leaking policyholder information”, Complinet, 18 December 2007

“Nationwide fined almost £1m for one stolen laptop”, Complinet, 15 February 2007

“The sad tale of the London Adventist Credit Union”, Complinet, 11 May 2006

“The tribunal and more credit union chaos”, Complinet, 19 May 2006

“Besso pays penalty for approved person lapse”, Complinet, 2 May 2006

“FSA sanctions major player in consumer financial services”, Complinet, 13 April 2006

“Capita- FSA sends out a painful message on fraud”, Complinet, 20 March 2006

“FSA looks into ‘key person risk’ “, Complinet, 15 February 2006

“FSA relents on client money rules for fee-based mortgage brokers – but did it need to?”, Complinet, 11 January 2006

“The CFS fine for messing up custody and client money issues”, Compliance Online, 22 September 2005

“CP04/7: capital and Lloyd’s”, Compliance Online, 20 May 2004

“Capital adequacy, boiler rooms and all that jazz”, Compliance Online, 20 April 2005

“The Penrose Report – how to wreck a life assurer”, Compliance Monitor, April 2004

“The Penrose Report – a critical view”, Compliance Online, 5th April 2004

“The back of the PS04/9 bus: client money audit requirements”, Compliance Online, 22nd April 2004

“CP195 commentary: Twin Peaks and other capital problems”, Complinet, 1 September 2003

“Comment: CP 189: Capital and self-assessment”, Complinet, 9 July 2003

Get in touch

Contact Adam by e-mail, phone or post at:

E-Mail: adamsamuel@aol.com or adamsamueltc@yahoo.com

Mobile: 07900 248150

The Attic, 117 Priory Road, London NW6 3NN.