Regulation and Compliance
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SmartSearch: Agenda-setting campaign exposes AML loopholes
SmartSearch, the UK’s leading provider of digital compliance, has published an agenda-setting whitepaper to highlight the anti-money laundering shortcomings and sanctions loopholes…
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Don’t ignore FCA priorities says B-Compliant
The flurry of ‘Dear CEO’ letters being issued by the FCA emphasises the hard line the regulator is taking on Consumer Duty…
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How social media can support firms’ Consumer Duty data strategies – Jamie Botha
Written by DataEQ’s Jamie Botha The Financial Conduct Authority (FCA) recently published a review of firms’ progress in implementing the Consumer Duty…
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FCA supports firms through the transition to implementing the Consumer Duty
As firms continue to get ready for the implementation of the Consumer Duty, the Financial Conduct Authority (FCA) is supporting firms through…
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PIMFA calls for Financial Conduct Authority to have greater role in protecting public from fraud
PIMFA, the trade association for wealth management, investment services and the personal investment and financial advice industry, welcomes the news today (3…
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Financial watchdog blocks thousands of misleading ads
The Financial Conduct Authority (FCA) required firms to amend or remove 8,582 promotions during 2022 – 14 times more than 2021, a…
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Origo: Provider back-office improvements essential for Consumer Duty
Product providers need to invest in their back-office admin and improve their service if they are to help advice firms fulfil the Regulator’s Consumer…
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Provider back-office improvements essential for Consumer Duty, says Origo
Product providers need to invest in their back-office admin and improve their service if they are to help advice firms fulfil the Regulator’s Consumer…
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Useful Consumer Duty guidance for financial firms could ‘transform responses’ to customers experiencing economic abuse
The charity Surviving Economic Abuse (SEA) in partnership with law firm Simmons & Simmons and funded by abrdn Financial Fairness Trust and…
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Most UK adults don’t seek regulated financial advice, believing it to be “too expensive” and “for the wealthy”
New research from the Financial Services Compensation Scheme (FSCS) reveals that almost two-thirds (64%) of UK adults with savings, investments or a mortgage…
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