Regulation and Compliance
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FCA sets out its business plan for the year ahead: reaction
In its Business Plan for 2024-25, the Financial Conduct Authority (FCA) has today set out an ambitious programme of work for the…
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Regulated firms exposed to serious red flags without new business verification checks
Regulated firms that take on new business clients are leaving themselves exposed to serious red flags by not completing critical verification checks…
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Why transforming data management to meet compliance regulations can help wealth management firms unlock wider business benefits
Written by Tim FitzGerald, Financial Services Manager, InterSystems UK & Ireland Wealth management firms are facing a constantly evolving regulatory landscape, in…
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Investment companies deregulation: the rise of Skywalker? JB Beckett analyses talk of reform to sector regulation
Advisers may be becoming increasingly aware of a rising voice in the corridors of power, one to reform the regulation of U.K.…
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Lifetime Allowance: How the transitional tax-free amount certificate can make a big difference
As we approach the new tax year, Justin Corliss, Senior Pensions Development Manager at Royal London, explores the upcoming changes to the Lifetime Allowance…
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TISA Calls for The FCA to Radically Reconsider the Purpose and Function of Disclosure – Women Most Affected
New research from The Investing and Saving Alliance (TISA) and The University of Nottingham has underscored the need for a radical transformation…
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All roads lead to data – Moneyhub gives full support to ‘game changing’ FCA Advice Guidance Boundary Review proposals
Moneyhub has submitted its response to the Financial Conduct Authority’s (FCA’s) Advice Guidance Boundary Review proposals (DP23/5). The FCA’s proposals seek to…
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Financial regulator finds wholesale data market can be improved
The Financial Conduct Authority (FCA) has today published the findings of its wholesale data market study, which examined competition in the markets for credit…
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Aegon backs Advice Guidance Boundary Review targeted support proposals
Responding to the Treasury / FCA Discussion Paper on the Advice Guidance Boundary Review (which closes today), Aegon has put its backing…
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SJP welcomes the FCA and HM Treasury consultation paper on the future of targeted support and simplified advice
St. James’s Place (SJP) welcomes the FCA and HM Treasury consultation on the ‘Advice Guidance Boundary Review’ to address the widening advice…
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