Financial Services Update - June 2021
Here is our financial services update for June covering all the major compliance and regulatory updates you should be aware of. The...
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Robert Bell
Jun 16, 2021
Recognising Financial Difficulties: Using Game Based Learning
Debt is a very personal issue, and it means different things to different people. The statistics published over the previous year have...
Robert Bell
Jun 8, 2021
Recent Financial Services Updates
There have been quite a few recent financial services updates from the FCA and Financial Ombudsman Service that firms need to be aware...
Robert Bell
Jun 2, 2021
FCA Final Rules on Building Operational Resilience
The FCA has published their final rules on how firms should approach operational resilience. The rules aim to ensure the financial sector...
Robert Bell
May 26, 2021
Complaints Handling: Compliance with DISP
With the FCA’s Statement on firm handling of complaints during coronavirus no longer in force, all firms are now expected, once again, to...
Robert Bell
May 19, 2021
Breathing Space Regulations – The Next Step
The Breathing Space Regulations came into effect earlier this month, with the UK government estimating that the new rules will help...
Robert Bell
May 12, 2021
FCA – Complaints Data Publication
The FCA published their H2 2020 complaints data at the end of April. The aggregate data shows that the number of complaints has decreased...
Robert Bell
May 5, 2021
Finalised FCA Guidance on the Fair Treatment of Vulnerable Customers
As the industry begins to look to a future beyond the pandemic, maintaining a focus on the effects on vulnerable consumers becomes even...
Robert Bell
Apr 28, 2021
Financial Services Regulation Round-Up: April 2021
As always, we aim to keep you right up to date with all matters to do with financial services regulation and compliance, as such we have...
Robert Bell
Apr 21, 2021
Upcoming Breathing Space Regulations
Firms for which the Consumer Credit Sourcebook (CONC) applies are reminded that updates to the Handbook will come into force on 4 May...
Robert Bell
Apr 7, 2021
What’s on the FCA’s Agenda for Second Quarter 2021
As we come into the second quarter of this year it is a good opportunity to review what we can expect to see on the FCA’s agenda for this...
Robert Bell
Mar 31, 2021
Financial Conduct Authority's Priorities for Q2
Looking beyond the 31 March deadlines for the Conduct Rules, Certification Regime, Directory Persons and the deadline for consumers to...
Robert Bell
Mar 10, 2021
Changes and Challenges for the Financial Services Sector for 2021
Looking ahead over the first half of 2021, there are a number of upcoming changes and challenges that will be of interest to the...
Robert Bell
Mar 8, 2021
FCA Vulnerability Guidance – Practical Steps
The FCA define vulnerability as “someone who, due to their personal circumstances, is especially susceptible to harm, particularly when a...
Robert Bell
Feb 25, 2021
Final FCA Vulnerability Guidance
The Financial Conduct Authority have published their finalised guidance on the fair treatment of vulnerable customers, in support of...
Robert Bell
Feb 17, 2021
Outcomes Based Regulation
The Woolard Review, chaired by Christopher Woolard and conducted over a number of months from September 2020 to early 2021 reviewed...
Robert Bell
Feb 10, 2021
Woolard Review: An Urgent Need to Change the Unsecured Credit Market
Published on 2 February 2021, the Woolard Review has highlighted ‘an urgent need’ to regulate all buy now pay later (BNPL) products. The...
Robert Bell
Jan 20, 2021
The FCA Regulatory Outlook for 2021
The outlook, as we move into 2021, is very different from this time 12 months ago. The course that the FCA intended to take was...
Robert Bell
Jan 13, 2021
Post Brexit: The Impact on the Financial Services Sector
The Brexit transition period ended on 31 December 2020, with the UK and EU having agreed on the terms of the UK-EU Trade and Cooperation...
Robert Bell
Jan 5, 2021
FCA Takes Action Over Firms Failing to Treat Customers in Financial Difficulty Fairly
Just before Christmas, we focussed on the importance of the fair treatment of customers in financial difficulty. On 15th December the FCA...
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