Due Diligence and research – FCA Thematic Reviews 2015
Janaury 2015
FCA Thematic Review on due diligence
From the recent FCA Positive Compliance workshop, we were given guidance (warning?) that the FCA is going to be focussing on due diligence in 2015 and that may involve a thematic review. I thought that the most helpful thing I could do would be to start your thought processing in advance, just in case you are asked to help the FCA with their review. The old adage “to fail to prepare is to prepare to fail” is applicable.