A year in compliance

So long, 2019. Adam Samuel reflects on themes of the past year in the financial services compliance space, as well as ongoing issues for the incipient decade.

Adam SamuelBA LLM DipPFS MCISI FCIArb Certs CII (MP&ER) Barrister and Attorney may be contacted atadamsamuel@aol.com.For links to where you can buy the second edition of ‘Consumer Financial Services Complaints and Compensation’, see www.adamsamuel.com/book.

The invitation

Compliance Monitor invited me to describe a year of compliance – 2019. As this publication shows, the subject covers vast vistas, most of which I seldom, if ever, go near. This is a personal memoir of the year gone by and so spends relatively little time musing on the inability of fund managers to sort out the costs and charges in their products. It also does not consider the joys of the latest sanctions that AML (anti-money laundering) checks need to cover.