Regulation and Compliance
-
Mark Steward to step down from the FCA
Mark Steward has announced he will be stepping down as the FCA’s executive director of Enforcement and Market Oversight after seven years…
-
FCA to consult on stocks and shares ISA advice rules – AJ Bell
Written by AJ Bell head of retirement policy Tom Selby Recent events have exposed some pretty fundamental and dangerous misunderstandings about the…
-
FCA places restrictions on twice as many consumer investment firms this year
The FCA has placed restrictions on twice as many firms in the investment market compared to last year, as part of its…
-
Firms turn to tech and data to solve Consumer Duty woes as 38% admit limited knowledge of new legislation
Firms are overwhelmingly turning to technology in order to surface data and insights that solve the challenge set by the FCA’s new…
-
Consumer Duty and how to handle vulnerable clients queries
ValidPath, the network for independent financial advisers, has revealed that Guaranteed Annuity Rates, UK clients moving overseas, and how to handle vulnerable…
-
Sustainable Investment Labels and Consumer Duty – what do they mean for your advice firm?
The FCA is due to publish the Sustainability Disclosure Requirements (SDR) and Investment Labels Consultation Paper in October 2022. The changing regulations…
-
Is your communications platform ready for the new consumer duty?
Looking ahead to the FCA’s new Consumer Duty rules, Faith Liversedge shares some practical tips on why and how your advice business…
-
Over half of FCA regulated firms have no plans in place ahead of critical Consumer Duty deadline end of October
Businesses are in danger of failing to embrace the opportunity that the upcoming Consumer Duty regulation presents and may not be compliant…
-
Regulation of international firms
The FCA has launched a consultation on its approach to the authorisation and supervision of international firms operating in the UK. This…
-
Is PROD just another box ticking exercise?
Designed by the Financial Conduct Authority (FCA) to ensure compliance with MiFID II, PROD – or the ‘Product Intervention and Product Governance…
IFA Talk is our flagship podcast, that fits perfectly into your busy life, bringing the latest insight, analysis, news and interviews to you, wherever you are.