Regulation & Compliance
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The FCA’s Consumer Duty challenge is changing shape
When the Consumer Duty first came into force in July 2023, it dominated regulatory discussion across financial services. But the preparation had…
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FCA bereavement review: a test of trust, not just compliance
Rob Ord, consulting partner, and Graeme Devlin, head of risk, regulation, and compliance – Wealth and Asset Management at global management and…
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Redress system reform must not leave vulnerable consumers locked out of justice, TISA urges
The Investing and Saving Alliance has urged the FOS and FCA to ensure proposed reforms to the redress system include clear safeguards…
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FCA sets out guidance to support innovation in fund tokenisation
Asset managers will find it easier to unlock the benefits of fund tokenisation, following the publication of new guidance by the Financial…
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Governments must stop using fiscal ‘headroom’ as a piggy bank they can raid, says Lords report
Today, the cross-party House of Lords Economic Affairs Committee has published its report, ‘Fortifying the fiscal framework’. The report concludes that: Lord…
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Compliance shake-up by HMRC: which advisers will be caught out?
Government requires local tax advisers to mandatorily register from May if submitting documents to HMRC on behalf of clients. Conveyancing solicitors and payroll…
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From advice to execution: Part 3 of Patrick Murphy’s insights on the FCA’s simplified advice model
The FCA has recently published one of the most important consultation papers in years, on simplifying pensions and investment advice. Last…
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Opinion | The FCA is simplifying advice. But, asks Patrick Murphy, are we focusing on the right things?
The FCA has just published one of the most important consultation papers in years, on simplifying pensions and investment advice. Earlier…
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FCA consults on guidance on UK’s future crypto regime – and gets warm reaction from industry experts
Crypto will be regulated in the UK from October 2027, according to the FCA. The Financial Conduct Authority (FCA) has reported today…
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New PIMFA research finds easing regulatory pressures and measured adoption of Targeted Support and Simplified Advice signalling an evolving market
The findings of the second PIMFA Regulatory Insights Tracker, a regular survey of its member firms across the wealth management and financial…
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