Regulation & Compliance
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Consumer Duty Data Forum publishes Good Practice Guide to help firms meet FCA expectations
The Consumer Duty Data Forum, a taskforce of the Consumer Duty Alliance, has published a new Good Practice Guide on How to…
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Targeted Support could push more savers to seek financial advice, say nearly half of IFAs
Ahead of the introduction of the Financial Conduct Authority’s Targeted Support framework in April, nearly half of IFAs (46%) believe access to targeted pension and investment support would make people more…
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FCA takes action against offshore cryptoasset firm for illegal financial promotions | Analysis from Burges Salmon LLP
In a landmark move, the Financial Conduct Authority has launched its first enforcement action against an offshore cryptoasset exchange for breaching the…
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Simplifying customer vulnerability without being simplistic | Insight from MorganAsh’ Andrew Gething
As the industry pushes for regulatory simplification, customer vulnerability risks being reduced to overly simplistic processes. Sharing his latest thinking with IFA…
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Financial Ombudsman and FCA outline new measures to modernise and transform the UK redress system
Following feedback from industry and consumer groups, the Financial Ombudsman and FCA have outlined the next steps on their joint work to…
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Financial ombudsman reforms welcomed, but questions still remain
The UK government has published its response to the review of the Financial Ombudsman Service, alongside final guidance from the Financial Conduct…
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SPP highlights “practical challenges” with the FCA’s new ESG rating proposals
The Society of Pension Professionals (SPP) has responded to the current FCA consultation on ESG ratings. The consultation seeks industry views on FCA proposals…
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The FCA’s Consolidation Review: What have we learnt?
The Financial Conduct Authority’s Consolidation Review has sparked significant debate across the advice sector. But beyond the headlines, what practical lessons can…
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AIC welcomes FCA listing rules review – Regulator will be considering shareholder rights and conflicts of interest
The Association of Investment Companies (AIC) has welcomed the FCA’s announcement today that it will be bringing forward a review of the Listing Rules for investment…
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The elephant in the room; Jonathan Newell of BareRock Group asks, who’s paying for complaints against ARs?
Reforms to the Appointed Representatives regime are intended to strengthen consumer protection, but they also expose unresolved questions around accountability and redress.…
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