Purpose – Compliance competence is key to the operation and reputation of the financial services sector and is now completely embedded in the way financial services organisations carry on investment business. It is also fundamental to the Financial Services Authority (FSA) in seeking to...

Purpose – To provide a practical insight into the Financial Services Authority's (FSA) “Treating Customers Fairly” (TCF) initiative for financial services firms endeavouring to implement such an approach. Design/methodology/approach – This qualitative paper subjectively considers the TCF...

This paper considers the meaning of the term ‘compliant competent life assurance companies’, within the current regulatory regime. It defines the terms of competence and compliance in the context of the change of emphasis from individual to corporate compliance competence. It recognises the...

Purpose – Compliance competence is key to the operation and reputation of the financial services sector and is now completely embedded in the way financial services organisations carry on investment business. It is also fundamental to the Financial Services Authority (FSA) in seeking to...

Purpose – To provide a practical insight into the Financial Services Authority's (FSA) “Treating Customers Fairly” (TCF) initiative for financial services firms endeavouring to implement such an approach. Design/methodology/approach – This qualitative paper subjectively considers the TCF...