Compliance Matters 5 

Another quarter has passed and another issue of the JRS “Compliance Matters” newsletter is available. Welcome.

Plus ça Change 

This issue is back, yet again: Dear XXXX, There is no precise guidance on the point and certainly none which supports the LAAs determination that a second reference is required on a further matter developing out of an initial DSCC referral. The only “logging” requirements are contained here and solely relate to matters NOT originally […]

August 2017
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