Regulation & Compliance
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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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Risk, regulation and the future of advice
When someone’s spent nearly two decades at the FCA and helped shape the way firms are supervised, you listen. And when that…
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As consumer duty turns two, tech-savvy wealth managers take the lead
Suman Rao, Managing Director for UK and Ireland at Avaloq shares her thoughts on the impact of Consumer Duty two years following…
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Firms must act now and digitise customer vulnerability to deliver targeted support, warns MorganAsh
Firms planning on providing the FCA’s new targeted support must digitise customer vulnerability processes to both ensure efficiency and comply with Consumer…
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FCA appoints Liam Coleman as interim chair of the Financial Ombudsman Service
Liam Coleman has been appointed interim chair of the Financial Ombudsman Service. He will take up the role on 10 October 2025. …
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Guest Insight | Time to regulate? JB Beckett asks is it time to reset the clock?
We’ve been here before but this time we’re older and apparently none the wiser about regulatory matters. In this, his latest blog…
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AIC urges Government to correct exclusion of investment companies from pension schemes bill
The Association of Investment Companies (AIC) has written to Treasury minister Torsten Bell MP to urge the government to amend its Pension Schemes Bill.…
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