Thames, London | Seven Compliance

Are you hiding anything?

The FCA expect to be told of anything that they think would be of interest to them. Firms sometimes forget to tell the FCA of a change in circumstances. This may seem minor to the Firm but any change in shareholding, a promotion of a regulated person to take on new responsibilities or a suspicious activity that is not notified, could lead to a serious response from the regulator.

If you are unsure then please talk to us and we can advise what and how to report.