Tag Archives: compliance

Dear Santa…A Cautionary Data Privacy Tale

Posted on December 21, 2021 by Alice Heathfield

It had been quite a year for the keepers of that vast, ever-changing database held in that ever-so-secure environment right by the North Pole. Since Santa Claus had come to the uncomfortable realisation that not only the identities of the …

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‘Tax Day’ – government continues its campaign to tackle non-compliance

Posted on March 24, 2021 by Alice Heathfield

Promoters of tax avoidance schemes HM Treasury’s reminder that the so-called “tax gap” is at a record low of 4.7% (of which tax avoidance only counts for £1.7bn – approximately 5.5% of the total) is timely and welcome.  HMRC has …

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A firm receives a section 170 notice: what next?

Posted on March 10, 2020 by Christopher Wilsher

Regulated firms and their compliance teams are well aware of the risks and potential outcomes should the Financial Conduct Authority (FCA) open a formal investigation. Compliance teams should ensure, in advance of the FCA knocking on the firm’s door, that …

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