Regulation & Compliance
-
Aegon : Core investment advice should be first step towards more personalised guidance
Responding to the FCA consultation on Broadening access to financial advice for mainstream products, which closed yesterday, Aegon has called for the forthcoming…
-
The Pensions Regulator increases its focus on climate and ESG non-compliance
A new campaign to make sure trustees are meeting their environmental social governance (ESG) and climate change reporting duties is being launched…
-
SmartSearch: Agenda-setting campaign exposes AML loopholes
SmartSearch, the UK’s leading provider of digital compliance, has published an agenda-setting whitepaper to highlight the anti-money laundering shortcomings and sanctions loopholes…
-
Don’t ignore FCA priorities says B-Compliant
The flurry of ‘Dear CEO’ letters being issued by the FCA emphasises the hard line the regulator is taking on Consumer Duty…
-
How social media can support firms’ Consumer Duty data strategies – Jamie Botha
Written by DataEQ’s Jamie Botha The Financial Conduct Authority (FCA) recently published a review of firms’ progress in implementing the Consumer Duty…
-
FCA supports firms through the transition to implementing the Consumer Duty
As firms continue to get ready for the implementation of the Consumer Duty, the Financial Conduct Authority (FCA) is supporting firms through…
-
PIMFA calls for Financial Conduct Authority to have greater role in protecting public from fraud
PIMFA, the trade association for wealth management, investment services and the personal investment and financial advice industry, welcomes the news today (3…
-
Financial watchdog blocks thousands of misleading ads
The Financial Conduct Authority (FCA) required firms to amend or remove 8,582 promotions during 2022 – 14 times more than 2021, a…
-
Origo: Provider back-office improvements essential for Consumer Duty
Product providers need to invest in their back-office admin and improve their service if they are to help advice firms fulfil the Regulator’s Consumer…
-
Provider back-office improvements essential for Consumer Duty, says Origo
Product providers need to invest in their back-office admin and improve their service if they are to help advice firms fulfil the Regulator’s Consumer…
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.
