Appointed Representatives Consultation
The Financial Conduct Authority has published a consultation on proposed changes to the Appointed Representatives Regime. The...
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Robert Bell
Jan 12, 2022
FCA Regulatory Update: January 2022
The Financial Conduct Authority has published a synopsis of the highlights of its new approach in 2022. Linking a number of...
Robert Bell
Jan 4, 2022
Defining a Healthy Culture: It’s Importance to Regulatory Compliance in 2022
At just under a week into the new year, it is time to assess the regulatory direction and the Conduct hot spots for 2022. The Financial...
Robert Bell
Dec 15, 2021
Vulnerable Customer Guidance
The number of vulnerable adults in the UK was estimated to have risen to almost 28 million by October 2020, in no small part due to the...
Robert Bell
Dec 8, 2021
FCA Regulatory Updates: December 2021
In this article you'll find a summary of recent updates from the FCA and the impact of these on regulatory compliance. FCA Complaints...
Robert Bell
Dec 1, 2021
The FCA's Expectations for Remuneration in the Consumer Credit Sector
With less than a month to go to Christmas and New Year, many employers will be looking to reward staff that have worked hard in very...
Robert Bell
Nov 23, 2021
New Proposal To Place a Ban on Debt Packager Firms
The Financial Conduct Authority has published a new proposal to place a ban on debt packager firms being paid to refer customers on to...
Robert Bell
Nov 16, 2021
FCA Publishes New Funeral Plan Rules
The FCA has published final and near-final rules on pre-paid funeral plans, which will come under their regulation on 29 July 2022. The...
Robert Bell
Nov 2, 2021
Financial Services Update - November 2021
In this article you'll find a summary of recent financial services updates from the FCA as well as the government and the impact of these...
Robert Bell
Oct 26, 2021
Driving Towards Good Customer Outcomes
There have been signs over the previous year that the way the FCA regulates is undergoing a fundamental change. The Business Plan for...
Robert Bell
Oct 13, 2021
Regulatory Round Up - October 2021
Here is our regulation round up for October 2021 covering all the major compliance and regulatory updates you should be aware of for...
Robert Bell
Oct 6, 2021
Customers Who Are Experiencing Financial Difficulties: Review Current Practices
As 2021 enters the final quarter, the UK faces a tricky winter. The impact of the pandemic on the population’s finances is clear, and...
Robert Bell
Sep 22, 2021
Financial Services Updates - September 2021
In this article you'll find a summary of recent financial services updates from the FCA and the impact of these on regulatory compliance....
Robert Bell
Sep 7, 2021
FCA's New Assertive Approach to Enforcement
The Financial Conduct Authority has clearly signalled its intent to expand the use of its enforcement powers over the coming months, as...
Robert Bell
Sep 1, 2021
Recent FCA Updates - September 2021
In this article you'll find a summary of recent updates from the FCA and the impact of these on regulatory compliance. FCA Chief...
Robert Bell
Aug 24, 2021
Treating Customers Fairly: FCA Business Plan 2021/22
It shouldn’t be any surprise that the FCA’s 2021/22 business plan shows that the Regulator has not taken its foot off the gas when it...
Robert Bell
Aug 4, 2021
Financial Promotions Case Studies
The Financial Conduct Authority has published a webpage with examples of good and bad practices in financial promotions. These and future...
Robert Bell
Jul 20, 2021
Financial Conduct Authority Business Plan for 2021 /22
The Financial Conduct Authority have published their Business Plan for 2021 / 22. The plan sets out the Regulator’s rationale for major...
Robert Bell
Jul 14, 2021
Regulation Round Up - July 2021
Here is our regulation round up for July 2021 covering all the major compliance and regulatory updates you should be aware of for...
Robert Bell
Jul 7, 2021
FCA’s Consultation on a New Consumer Duty: Implications for Vulnerable Customers
Protection for consumers continues to drive the Financial Conduct Authority’s ongoing work. Their consultation on a new ‘Consumer Duty’...
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