Regulation and Compliance
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FCA probes banks on bereavement and power of attorney policies
The Financial Conduct Authority (FCA) has highlighted that banks and building societies can improve how they treat customers affected by bereavement or…
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New CII report says boards and senior leaders must ‘walk the walk’ to improve outcomes for vulnerable customers – 10 April 2025
A new Chartered Insurance Institute (CII) roundtable report calls for a ‘coalition of the willing’ to move beyond identifying characteristics of vulnerability,…
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The FCA: Rules for investment managers to be reformed to support growth
The Financial Conduct Authority (FCA) is proposing reforms to its regime for alternative asset managers, to make it easier for firms to…
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Guest insight | FCA’s record-breaking year of fines: how can companies stay compliant?
With FCA fines soaring to a record £176 million in 2024—a staggering 230% increase from the previous year—financial firms face mounting pressure…
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FCA fresh thinking on using pension pots for house deposits ‘a welcome development’ – Steve Webb, LCP
A speech by the CEO of the Financial Conduct Authority (FCA), in which he flagged openness to using pension saving to help…
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FCA strategy aligns with UK growth agenda, but clear success metrics still to emerge – Capco
Michael Shand, Managing Principal at financial services focused technology and management consultancy Capco, comments on the Financial Conduct Authority’s new five-year strategy announcement.…
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Simplybiz launches bespoke compliance digitisation tool for member firms
Simplybiz has announced the launch of a compliance digitisation tool, Navigator, a custom version of regtech provider ifaDASH’s platform, available exclusively to…
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FCA urged to stick with principles-based regulation on investment disclosure
Rachel Vahey, head of public policy at AJ Bell comments: “We welcome and support the FCA’s efforts to make sure customers have…
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Addressing the elephant in the room during the FCA’s Vulnerability Review | Comentis’ Jonathan Barrett looks at what’s missing
Jonathan Barrett (pictured), CEO of Duty of Care Assessment firm, Comentis shares some of his key takeaways from the FCA’s Vulnerability Review.…
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FCA decides to fine and ban Robin Crispin Odey
Mr Odey has referred his Decision Notice to the Upper Tribunal where he and the FCA will present their cases. Any findings…
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