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Regulation and Compliance
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Financial Ombudsman Service sees complaints increase by more than 50%
Complaints about fraud and scams, current accounts and credit cards are at record highs, according to new figures published by the Financial…
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Orphan clients set to increase as advisers grapple with regulation and profitability, NextWealth finds
Almost three-quarters (72%) of advisers say they are ending relationships with more clients than usual, finds NextWealth. Termed ‘offboarding’, during 2024, two…
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FCA fines Barclays £40 million
The Financial Conduct Authority (FCA) has fined Barclays £40 million in total for its failure to disclose certain arrangements with Qatari entities…
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FCA launches first research competition to help drive UK economic growth
The Financial Conduct Authority is launching its first competition to fund research into how regulation can support national growth. This follows a review…
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FCA calls for firms to improve bereavement handling times and shares best practice
The Financial Conduct Authority (FCA) has found that while life insurers provide good service to bereaved customers, they need to settle claims…
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PIMFA comments on FCA & FOS Announcement on CMC charges
PIMFA, the trade association for the wealth management, investment services and the financial advice and planning industry has today welcomed the decision…
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The Pensions Regulator publishes compliance and enforcement policy for CDC pensions
The Pensions Regulator (TPR) has published its new compliance and enforcement policy for collective defined contribution (CDC) pension schemes, which sets out its…
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FCA enhances access to market data and investment research to support growth
The Financial Conduct Authority has set out a package of measures to reinforce the UK’s leading position in the bond, derivatives and…
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Evidencing compliance with FCA good practice for retirement advice | EV’s Andrew Storey offers practical tips for IFAs
In the following analysis, Andrew Storey, Group Innovation Director, EV, looks at the main areas of concern and suggests how IFA firms…
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FCA must be cautious not to oversimplify requirements in Consumer Duty review – Capco
Michael Shand, managing principal at consultancy Capco, comments on the FCA’s Call for Input on refining its conduct rules as a result of Consumer…
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