Regulation and Compliance
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Why advisers need to conquer the client feedback fear suggests B-Compliant
Advisers are too quick to assume a lack of complaints means clients are satisfied with their service claims financial compliance specialists, B-Compliant.…
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FCA concerned about problem behaviours linked to trading app design
The Financial Conduct Authority (FCA) has warned stock trading app operators to review design features, including those with game-like elements, which risk…
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Three quarters of financial advisers rely on portfolio performance to evidence value, failing to measure the true value of advice, finds new report
Advisers are relying too heavily on performance data to evidence value, according to a new in-depth report from NextWealth into the implications…
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Taking a uniform approach to risk will help meet Consumer Duty
Written by Andrew Storey, Proposition Director, EV The clock is ticking; the countdown to Consumer Duty has begun. All firms involved in…
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TPR, FCA and MaPS warn pension holders of scam risk after LDI debacle
Scam-fighting bodies have joined forces to warn pension scheme trustees and savers of a potential increased risk from scammers seeking to cash…
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The Consumer Duty- a practical approach to the changes required
By Mary McFadzean, Business Development and Compliance Manager at Brighter Financial Services Ltd. Why the Consumer Duty? Do a Google search into…
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Advisers confident on Consumer Duty and vulnerable customers but data identifies vulnerability perception gap
The Embark Investor Confidence Barometer has revealed advisers are bought into the overarching principles of the Consumer Duty but have significant concerns…
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FCA’s Consumer Duty: MirrorWeb’s Harriet Christie assesses the role of data archiving
As advisers integrate changes to procedures to reflect the FCA’s Consumer Duty rules, MirrorWeb’s Harriet Christie takes a deep dive into the…
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FCA warning on ‘rogue’ firms as dodgy advert interventions hit new record – AJ Bell
Written by Tom Selby, head of retirement policy at AJ Bell The cost-of-living crisis has dramatically increased the financial vulnerability of millions…
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FCA ramps up intervention on rogue financial promotions
Data published today shows that the Financial Conduct Authority (FCA) intervened to amend or withdraw 4,151 financial promotions between July and September,…
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