Regulation and Compliance
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Consumer Duty a ‘watershed moment’ that firms must take seriously, FCA warns at PIMFA conference
The Consumer Duty is a “watershed moment” for firms offering investment services and financial advice, that must be taken extremely seriously says…
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Regulatory focus increases as firms get to grips with scale of Consumer Duty change
With six months to go until the FCA’s Consumer Duty comes into effect Oliver Sharland, managing principal at consultancy Capco, comments on…
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Firms need to act on SDR says Abi Reilly
As the FCA’s Consultation Paper on SDR closed this week, Abi Reilly, Funds Practice Lead at Bovill, has commented. She said: “Bovill…
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IA responds to FCA consultation on SDR and investment labels
In response to the FCA’s consultation on SDR and investment labelling, Chris Cummings, Chief Executive of the Investment Association (IA) has commented.…
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MorganAsh comments on FCA multi-firm Consumer Duty review
As the FCA’s multi-firm review highlights areas of focus for firms implementing Consumer Duty, Andrew Gething, Consumer Duty expert and managing director…
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FCA highlights areas of focus for firms implementing the Consumer Duty
With six months to go before the Consumer Duty comes into force, the Financial Conduct Authority (FCA) has published a review of…
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Industry experts comment on the FCA’s thematic review of retirement income advice
Aegon’s Steven Cameron and Quilter’s Jon Greer comment on the FCA’s thematic review of retirement income advice. Steven Cameron, Pensions Director at…
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Rewriting the consumer duty narrative in 2023 – MetLife UK
Written by Rich Horner, Head of Individual Protection, MetLife UK The start of a New Year always brings the promise of opportunity,…
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5 ways technology can help financial advisers meet their Consumer Duty responsibilities
The overarching principle of the Consumer Duty rules is that a firm must act to deliver “good outcomes” for retail customers. There…
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Why Issuers and Professional Services Firms Need to Up Their Game for Market Abuse Legislation
By Terry Dawson, Managing Director, StarCompliance Market abuse regulations are not as prescriptive for publicly traded companies (i.e. issuers of securities) as…
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