Regulation & Compliance
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Uncovering advisers’ attitudes to personal compliance: IFA Magazine readers’ HRComply survey lifts the lid on how well advisers are keeping up to date with changing regulatory requirements
To better comprehend how financial advice professionals understand the detail of personal compliance and how this plays out within the advice business, IFA Magazine recently carried out a…
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SmartSearch: Compliance expert urges firms to be audit-ready
Regulated firms are risking fines – and wasting time and money – by relying on inadequate compliance reporting and auditing procedures, a…
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FCA: Financial watchdog puts banks on alert in fight against money laundering via Post Office
A series of measures designed to reduce the risk of money laundering via the Post Office have today been set out by…
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Capco UK: Action needed before Consumer Duty deadline
With tomorrow, April 22nd, marking just 100 days to go until FCA’s Consumer Duty comes into effect on 31 July 2023, Oliver…
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“Significant progress now looks to have been made” AJ Bell’s Ryan Hughes comments on FCA announcement of redress for Woodford investors
AJ Bell head of investment partnerships, Ryan Hughes(pictured), has shared his view with IFA Magazine about the FCA’s announcement which was made…
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FCA announces plan to deliver significant redress to Woodford investors
Following an investigation by the Financial Conduct Authority (FCA), Link Fund Solutions (LFS) has agreed to provide, with a material contribution from…
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Financial services regulatory family publishes its wider Implications Framework annual report for 2022
The financial services regulatory family re-launched the Wider Implications Framework in 2022, to achieve better outcomes for consumers, firms and the industry…
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Millions of customers together save nearly £1billion due to overdraft rule changes
Improved overdraft rules brought in by the Financial Conduct Authority (FCA) have reduced high fees for unarranged borrowing, removed complex charging structures…
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Will the FCA’s new Consumer Duty mean more support for those not taking advice?
Every year, around 700,000 people (£45bn of pots) start accessing their pension pots. These new retirees have big decisions to make about their…
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FCA sets clear plan for next 12 months
In its Business Plan 2023/24, the FCA has set out an ambitious programme for the next 12 months to achieve better outcomes for…
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