CEO’s Column

  • Terms and definitions

    March 17, 2017

    We use the terms registered individuals, appointed representatives and agents and, as of now, we charge each of them the same sum, in the same way. But as with any newfangled terminology, it’s easy for a broker to say “well, I don’t think of him/her as an appointed representative.” Let me use this space, then,…

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  • The resolutions you should not have broken yet…

    February 17, 2017

    Whether you’re one of those lucky members with an NACFB visit lined up, or whether you’re not, you should have in place a company structure chart; a compliance monitoring plan and compliance procedures; details of key business risks; a business plan; Treating Customers Fairly procedures, and anti-money laundering procedures. Even if you’re only trading under Limited Permission,…

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  • First Board Meeting of the year is this week

    January 19, 2017

    The work that needs to be done for it is occupying our time this week. We’ll be formally reassessing everything the NACFB is focusing on in 2017, with a view to ensuring the important stuff gets extra pairs of hands and eyes. Obviously compliance is still the number one priority for the year, but there…

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  • Passing the baton: how things change in 2017

    December 15, 2016

    As you may have read elsewhere, I’m standing down as CEO of the NACFB at the end of 2016, and long-time supporter of the Association Rob Lankey is stepping up as Interim CEO with effect from 1st January. I’m very grateful to the chaps at Leasing Life for giving me their Industry Ambassador of the…

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  • The Road Map: is the NACFB on schedule?!

    November 17, 2016

    At the start of this year we put together a Road Map, a printed document intended to give our members a solid and irrevocable commitment to achieve certain things by certain dates. It’s the yardstick against which our progress this year and next should be measured. With just one andf a half months remaining this…

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