top of page
Consultancy and Ready to Go E-Learning
"Making Compliance Simple"
Compliance Insights Articles
Search
Robert Bell
Jul 6, 2023
Consumer Duty: What Should You Be Doing Now?
In the latest of our series of posts on the Consumer Duty, we focus on the position firms should currently be in and how best to use the...
Robert Bell
Jun 29, 2023
New Product Approval Process
With just one month to go until the Consumer Duty comes into force, we’ll take a look at how firms can make the most of the time...
Robert Bell
Jun 23, 2023
FCA Consult on Strengthening Protections for Customers in Financial Difficulties
The FCA is consulting until 13 July 2023 on amendments to CONC and MCOBS to strengthen protections for customers in financial...
Robert Bell
Jun 15, 2023
FCA Enforcement Action
This week, we’ll take a look at the FCA’s developing approach to enforcement. While it hasn’t changed fundamentally since the 2019...
Robert Bell
Jun 8, 2023
Regulatory Round Up: June 2023
In a statement on 2 June 2023, the Financial Conduct Authority (FCA) confirmed that referral fees for debt packager firms will be banned....
Robert Bell
Jun 1, 2023
Value Assessments: Time To Take Action
Most firms have conducted their value assessments alongside or as part of their open product reviews, which need to be completed by the...
Robert Bell
May 18, 2023
Actioning Product Reviews
With the deadline to mitigate findings from open product reviews fast approaching, remediation plans should now be in full swing. As...
Robert Bell
May 11, 2023
Cost Of Living And Practical Support For Customers
Forecasts suggest that the cost-of-living crisis is set to continue throughout 2023, as incomes struggle to keep up with the increases in...
Robert Bell
Apr 27, 2023
Regulatory Roundup: April 2023
The Financial Conduct Authority have published their business plan for 2023/24. The plan sets out how the regulator will continue to...
Robert Bell
Apr 14, 2023
Operational Resilience – 7 Steps To Success And A Helpful Guide
It’s easy to get overwhelmed by the Operational Resilience requirements. At first, you may question whether this is just a new name for...
Robert Bell
Apr 5, 2023
Five Steps To Completing A product Review
Just like a lot of firms right now, our clients are battling with their Product Reviews. Feel familiar? It’s only natural, the reviews...
Robert Bell
Mar 30, 2023
Regulatory Roundup: March 2023
Market stability is very much back on the agenda following the failures of both Silicon Valley Bank and Credit Suisse. Although the UK’s...
Robert Bell
Mar 23, 2023
FCA Application Guidance – Key Points
For any firm – large or small – completing and submitting an application for Financial Conduct Authority (FCA) authorisation is a...
Robert Bell
Mar 9, 2023
Operational Resilience – A Year On…
In a few weeks’ time, Operational Resilience will mark its first anniversary following regulation day on 31st March 2022. This also marks...
Robert Bell
Mar 2, 2023
FCA Portfolio Letter: Implementing the Consumer Duty – Debt Purchase / Collection
Building on the Financial Conduct Authority’s (FCA) recent feedback on firms’ implementation plans [see: Consumer Duty implementation...
Robert Bell
Feb 23, 2023
Exploring The FCA Handbook: DEPP
The Financial Conduct Authority (FCA) Handbook contains a wide range of rules, guidance, and procedures that firms and individuals must...
Robert Bell
Feb 17, 2023
Importance Of Operational Resilience And Its Links To Consumer Duty
Operational Resilience was introduced by the FCA in partnership with the Bank of England and PRA with the rules being in force from 31...
Robert Bell
Feb 9, 2023
Open Product Reviews
The Consumer Duty – the cornerstone of the FCA’s three year strategy – aims to set higher standards across Financial Services. The FCA...
Robert Bell
Feb 2, 2023
Guidance: How To Complete An Application To The FCA
Completing an FCA (Financial Conduct Authority) application can seem daunting, but by following a few simple steps, you can ensure that...
Robert Bell
Jan 26, 2023
Consumer Duty – Next Steps
The new year gets off to as intense a start as 2019 did thanks to SM&CR, as the Consumer Duty implementation deadline looms on 31 July....
Compliance Insights Newsletter
The Email Newsletter for Compliance Professionals. Sign up to get regular compliance advice, news and updates delivered straight into your inbox. Designed to help you keep your finger on the pulse on the latest developments in compliance and it’s FREE.
bottom of page