Tag Archives: compliance

Dear Santa…A Cautionary Data Privacy Tale

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

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?

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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