Regulation and Compliance
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Consistent approach to vulnerability data needed as regulators flex muscles
The FCA is beginning to “flex its muscles” with notices issued to firms needing more data on vulnerability – a Consumer Duty…
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FCA announces next steps on improving the compensation framework
The Financial Conduct Authority (FCA) has published the feedback it received to its call for input on the framework for protection provided…
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FCA fines Metro Bank PLC £10 million and publishes Decision Notices for two of its former executive directors
The FCA has fined Metro Bank PLC £10,002,300 for breaching the Listing Rules by publishing incorrect information to investors. The FCA has…
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New European VAT rules set to increase online travel booking costs
On the back of the EU Commission’s announcement on major changes to the VAT legislation applicable to the platform economy selling travel…
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FCA fines Santander UK £107.7 million for repeated anti-money laundering failures
The FCA has fined Santander UK Plc (Santander) £107,793,300 after it found serious and persistent gaps in its anti-money laundering (AML) controls,…
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John Moret AKA Mr SIPP warns SIPP providers of impact of Consumer Duty
Speaking at the AMPs seminar and AGM, SIPP industry veteran John Moret, principal of MoretoSIPPs and chair of Investor in Customers, yesterday…
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Consumer Duty: How advisers can keep off the naughty list – Tenet comments
Marjolaine Quirke, client delivery director at Tenet Compliance Services, says a second pair of eyes and independent oversight will be top of…
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FCA and TPR issue update to joint regulatory strategy
The Financial Conduct Authority and The Pensions Regulator have issued an update to their joint regulatory strategy. The document provides a high-level…
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New FCA rules will put pensions dashboard providers in ‘prime position in dash for DC cash’ – Steve Webb, LCP
New FCA rules which will govern the activities of companies who provide pensions dashboards are set to give a huge advantage to…
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FCA ramps up influencer and Buy Now Pay Later crackdown
Laura Suter, head of personal finance at AJ Bell, comments on the FCA’s latest consultation on financial promotions: “The regulator is turning…
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