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News & Insights

What has the Compli team been discussing recently? Find out from our news service and please feel free to contact a member of our team for more information about any of the issues highlighted below.

Hot topic: SRA issues guidance on client confidentiality

In the January 2015 edition of SRA Update, the regulator has issued guidance to firms on protecting and maintaining client confidentiality.

A lack of discipline at the SRA

The SRA's Legal & Enforcement Directorate opened 90 new disciplinary proceedings during the first eight months of 2014.

Planning an ABS?

Two years since the genesis of alternative business structures, the term ‘ABS’ is no longer synonymous only with braking systems for cars.

Local Authorities and Alternative Business Structures

A number of local authorities have recently announced that they intend to apply for ABS status. The outcome of the first applications are due…

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