Regulation and Compliance
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Price and value two years on from Consumer Duty | Chris Jones, Dynamic Planner
Consumer Duty landed two years ago this summer, and its impact is now becoming clear, both in the evolution of culture and…
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The key impacts of Consumer Duty so far and what advisors can expect next | Stuart O’Sullivan, Protiviti UK
Consumer Duty has just passed its second birthday. How do we as an industry reflect on this regulation? Is Consumer Duty about…
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The Society of Pension Professionals back FCA targeted support plans for pensions but recommend improvements
The Society of Pension Professionals (SPP) have responded to the latest FCA consultation, “Supporting consumers’ pensions and investment decisions: proposals for targeted support”. Although supportive…
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FCA seeks boost to workplace savings to help people navigate their financial lives
The Financial Conduct Authority (FCA) has reported this morning that it is providing clarity around workplace savings schemes so employers and savings…
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Almost 5,000 fake Financial Conduct Authority scam reports in first six months of 2025, financial regulator warns
Consumers are being warned of fraudsters impersonating the Financial Conduct Authority (FCA), as the regulator revealed it has received almost 5,000 fake…
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Compliance expert debunks wave of emerging myths following Leeds Reforms announcement
Following Rachel Reeves’ recent announcement of the Leeds Reforms, one financial compliance expert has warned financial services businesses not to misunderstand key…
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Leeds Reforms: compliance expert debunks wave of emerging myths
Following Rachel Reeves’ recent announcement of the Leeds Reforms, one financial compliance expert has warned financial services businesses not to misunderstand key…
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Financial Ombudsman Service consults on changes to its case fees
The Financial Ombudsman Service is consulting on changing its case fee structure which would see businesses pay less for complaints which are…
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Financial Ombudsman Service sees a fall in case levels – with complaints at their lowest level for more than a year
Financial complaints needing intervention by the Financial Ombudsman Service have fallen to their lowest level in over a year, according to new…
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FCA issues fines of nearly £46m for failures managing the Woodford Equity Income Fund
The Financial Conduct Authority (FCA) has reported this morning that it has decided to fine both Neil Woodford and Woodford Investment Management…
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