by Tony Catt | Jun 26, 2021 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Compliance over the years June 2021 IFA Magazine – 10th Anniversary look at compliance IFA Magazine has been publishing for almost exactly the same length of time as my own compliance business. We have shared some interesting times. Very much under the old...
by Tony Catt | Jun 1, 2021 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Whistleblowing – good or grass? June 2021 Whistleblowing is not for the faint-hearted. I work on the basis – who is worse, the perpetrator or the witness who could have done something to stop bad practice, but did nothing and allowed it to happen/recur? Read...
by Tony Catt | Apr 1, 2021 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Senior Manager & Certification Regime – the “new culture” 1 September 2021 How people should behave even when their boss is not looking . With so many column inches already written about this, what on earth can I write that would be new and interesting? I guess...
by Tony Catt | Mar 26, 2021 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Environmental, Social and Governance (ESG) Investment March 2021 The future of investment is sustainable Last year around this time, I embarked on a project to provide a research document relating to Managed Portfolio Services as due diligence for one of my...
by Tony Catt | Jan 31, 2021 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Advice and research – time is money January 2021 Research – time thief or investment? Advisers are expected by the FCA to select the most suitable products to enable clients to meet their demands and needs and to enable forward financial planning. It is in this...
by Tony Catt | Dec 18, 2020 | Catt's Eye View - Historic .PDF, Financial Services - Articles
Senior Manager & Certification Regime – update December 2020 Keep the “directory” or “register” up to date. This article was written for T-C News in December 2020. The SM&CR is being introduced and firms need to ensure that they are...
