Regulation and Compliance
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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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Consumer duty two years on – Chris Jones, Financial Services Director, Dynamic Planner, provides his insights
Consumer Duty is two years old. If the time seems to have gone as quickly to you as it does to me,…
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Reeves’ reforms: former FCA regulator warns against false growth vs compliance trade-off
Iain Armstrong, Financial Crime Compliance Strategy Executive Director at ComplyAdvantage discusses the financial crime implications of the Chancellor’s “Leeds Reforms”. Iain believes that…
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FCA fines Barclays £42 million for poor handling of financial crime risks
The Financial Conduct Authority (FCA) has fined Barclays Bank UK PLC and Barclays Bank PLC a total of £42 million for separate…
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Managing the FCA’s latest data request – intelliflo’s Richard Wake shares practical tips for advice firms
As the FCA issues a sweeping new data request to advice firms across the UK, Richard Wake, Chief Operating Officer at intelliflo,…
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