How smaller firms can keep on the right side of regulators

Published on: 02/10/2025 00:00

Partner John Higgins spoke with Financial Reporter about how the likes of mortgage brokers, non-bank lenders and financial advisers in smaller firms can keep on the right side of regulators.

“While distinct from large banks in terms of scale and structure, smaller firms can often draw valuable lessons from the regulatory missteps of their larger counterparts.”

A recurring theme in many of the recent publicised failures in large firms is non-financial misconduct. John outlines what smaller firms with more limited compliance resources can learn from these mistakes.

Read John’s published article in Financial Reporter.