Regulation and Compliance
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It’s time to level the playing field: Here’s why the APCC wanted to expand the Skilled Person Panel
Richard Farr, Working Group Chair at The Association of Professional Compliance Consultants (APCC) discusses why the APCC has worked to expand the Skilled Person…
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How wealth managers should handle FCA’s new Consumer Duty
Written by Rachael Rowe, RVP for Financial Services at Seismic How wealth managers should handle FCA’s new Consumer Duty Rachael Rowe, RVP…
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Improving picture for personal finances, but many still struggling finds FCA
New research from the Financial Conduct Authority (FCA) has found that while many are struggling to meet financial commitments, the picture has…
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FOS Increases Complaint Level Predictions as Performance Continues to Improve
The Financial Ombudsman Service has today published its final plans and budget detailing the next phase of its transformation, whilst confirming the…
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Adviser firms need to follow regulatory trajectory on suitability to avoid non-compliance – Oxford Risk
Adviser firms need to adapt to changes in the regulatory approach to client investment suitability assessments and move away from a product-specific…
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Why suitable advice requires cashflow modelling: practical tips from Defaqto’s Richard Hulbert
Following last week’s ‘Dear CEO’ letter from the FCA on income in retirement, Richard Hulbert, Insight Consultant, at Defaqto, reminds us of the…
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FCA warns firms and ‘finfluencers’ to keep their social media ads lawful
Guidance for memes, reels and gaming streams promoting financial services has been published by the Financial Conduct Authority (FCA) today. The FCA…
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FCA identifies significant adviser failings in risk profiling for income drawdown: urgent action is required
Less than a quarter (23%) of firms have a different process for assessing attitude to risk in decumulation, as opposed to accumulation…
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FCA Top Up Fees – it’s not too late to spread the cost
Why use valuable working capital to pay FCA Top Up fees upfront? An instalment financing option can be used to ease the…
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FCA asks financial advisers to review their processes in retirement income support: reaction
The Financial Conduct Authority (FCA) has today written to the Chief Executives of financial advice firms asking them to review their processes…
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