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Compliance Blogger

Ready, Steady..

Monday 15th March 2010

By Bill Warren, managing director, Bill Warren Compliance LLP Compliance As we edge ever closer to further feedback from the Financial Services Authority (FSA) on a number of consultation papers, most compliance professionals will be taking a deep breath in preparation for the volume of reading they will have to do...

Approved persons: a hurdle too far for brokers?

Tuesday 9th February 2010

By Bill Warren, managing director, Bill Warren Compliance LLP Compliance. Much has been written about the expectations of the regulator and how as regulated firms we must all comply with their requirements  including the FSA’s principles of business...

Compliance – the dirty word

Tuesday 19th January 2010

By Bill Warren, managing director, Bill Warren Compliance LLP Compliance. That word that conjures up so many associations for the Financial Services industry, mostly of a negative nature...



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