Regulation and Compliance
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Ongoing financial advice and the art of remediation – Simplify Consulting’s Jayne Brown shares her assessment of the FCA’s review
The FCA’s review of ongoing advice practices highlighted areas for improvement. In this article, Jayne Brown, Lead Consultant at Simplify Consulting, explores…
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FCA Ongoing Advice Review: a wake-up call and a window of opportunity for firms says Dynamic Planner’s Chris Jones
The FCA’s long-awaited ongoing advice review findings are better than feared — but, says Chris Jones (pictured), Chief Product Officer, Dynamic Planner,…
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Aegon responds to FCA latest pensions discussion paper on modellers, consolidation and SIPPs
In its response to the latest FCA Discussion Paper, Pensions: Adapting our requirements for a changing market, Aegon has welcomed FCA openness to update…
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The People’s Pension calls for greater transparency and collaboration in response to FCA pensions consultation
The People’s Pension has published its response to the Financial Conduct Authority’s (FCA) discussion paper on adapting the regulatory framework for a…
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APCC: Enhancing wealth management compliance to identify and support vulnerable customers
Towards the end of last year, December 2024, The Financial Conduct Authority (FCA) set out its focus for its Consumer Duty scheme…
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FCA finds vast majority of ongoing suitability reviews delivered
The Financial Conduct Authority (FCA) has reported today that it has found that financial advisers are delivering suitability reviews in the vast…
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‘FCA review of ongoing advice findings welcomed’ – BNY Investments
Richard Parkin, Head of Retirement for BNY Investments, comments on the findings of the FCA’s review of whether financial advisers are delivering ongoing advice…
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FCA finds vast majority of ongoing suitability reviews delivered
The Financial Conduct Authority (FCA) has found that financial advisers are delivering suitability reviews in the vast majority of cases included in…
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FCA steps up action against misleading financial adverts
Nearly 20,000 financial promotions were withdrawn or amended in 2024 following intervention from the FCA – nearly double the amount in 2023.…
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Ten key focus areas for UK-regulated financial services in 2025
As 2025 begins, global law firm Latham & Watkins has published a comprehensive report identifying 10 critical focus areas for UK-regulated financial…
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