Regulation and Compliance
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B-Compliant Survey shows value to advisers of practical support in regulation and compliance
Financial advisers appreciate hands-on support above all else when choosing a compliance provider, according to clients of Manchester-based B-Compliant. In a survey…
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Comentis launches Vulnerability Support Framework for all FCA-regulated firms
With Consumer Duty looming, and many firms struggling to appropriately support vulnerable clients, Comentis has released a comprehensive framework, advising on the…
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Uncovering advisers’ attitudes to personal compliance: IFA Magazine readers’ HRComply survey lifts the lid on how well advisers are keeping up to date with changing regulatory requirements
To better comprehend how financial advice professionals understand the detail of personal compliance and how this plays out within the advice business, IFA Magazine recently carried out a…
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SmartSearch: Compliance expert urges firms to be audit-ready
Regulated firms are risking fines – and wasting time and money – by relying on inadequate compliance reporting and auditing procedures, a…
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FCA: Financial watchdog puts banks on alert in fight against money laundering via Post Office
A series of measures designed to reduce the risk of money laundering via the Post Office have today been set out by…
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Capco UK: Action needed before Consumer Duty deadline
With tomorrow, April 22nd, marking just 100 days to go until FCA’s Consumer Duty comes into effect on 31 July 2023, Oliver…
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“Significant progress now looks to have been made” AJ Bell’s Ryan Hughes comments on FCA announcement of redress for Woodford investors
AJ Bell head of investment partnerships, Ryan Hughes(pictured), has shared his view with IFA Magazine about the FCA’s announcement which was made…
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FCA announces plan to deliver significant redress to Woodford investors
Following an investigation by the Financial Conduct Authority (FCA), Link Fund Solutions (LFS) has agreed to provide, with a material contribution from…
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Financial services regulatory family publishes its wider Implications Framework annual report for 2022
The financial services regulatory family re-launched the Wider Implications Framework in 2022, to achieve better outcomes for consumers, firms and the industry…
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Millions of customers together save nearly £1billion due to overdraft rule changes
Improved overdraft rules brought in by the Financial Conduct Authority (FCA) have reduced high fees for unarranged borrowing, removed complex charging structures…
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