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derek bradley
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Data (Use and Access) Bill presents undeniable opportunities for UK financial services, but firms must act now to avoid falling behind on compliance
Thomas Hill, principal consultant at Capco, comments on the Government’s Data (Use and Access) Bill (which reached the Committee stage in the…
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FCA cracks down on financial influencers: What does this mean for advisers?
James Kaufmann, corporate partner at Hill Dickinson, discusses the FCA’s decision to target unregulated financial influencers and how this could potentially impact…
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FCA seeks further views on enforcement transparency proposals
The Financial Conduct Authority (FCA) has published the second phase of its consultation on proposals for a measured increase in transparency about…
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Financial Ombudsman Service sees complaints increase by more than 50%
Complaints about fraud and scams, current accounts and credit cards are at record highs, according to new figures published by the Financial…
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Orphan clients set to increase as advisers grapple with regulation and profitability, NextWealth finds
Almost three-quarters (72%) of advisers say they are ending relationships with more clients than usual, finds NextWealth. Termed ‘offboarding’, during 2024, two…
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FCA fines Barclays £40 million
The Financial Conduct Authority (FCA) has fined Barclays £40 million in total for its failure to disclose certain arrangements with Qatari entities…
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FCA launches first research competition to help drive UK economic growth
The Financial Conduct Authority is launching its first competition to fund research into how regulation can support national growth. This follows a review…
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FCA calls for firms to improve bereavement handling times and shares best practice
The Financial Conduct Authority (FCA) has found that while life insurers provide good service to bereaved customers, they need to settle claims…
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PIMFA comments on FCA & FOS Announcement on CMC charges
PIMFA, the trade association for the wealth management, investment services and the financial advice and planning industry has today welcomed the decision…
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The Pensions Regulator publishes compliance and enforcement policy for CDC pensions
The Pensions Regulator (TPR) has published its new compliance and enforcement policy for collective defined contribution (CDC) pension schemes, which sets out its…
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FCA enhances access to market data and investment research to support growth
The Financial Conduct Authority has set out a package of measures to reinforce the UK’s leading position in the bond, derivatives and…
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Evidencing compliance with FCA good practice for retirement advice | EV’s Andrew Storey offers practical tips for IFAs
In the following analysis, Andrew Storey, Group Innovation Director, EV, looks at the main areas of concern and suggests how IFA firms…
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FCA must be cautious not to oversimplify requirements in Consumer Duty review – Capco
Michael Shand, managing principal at consultancy Capco, comments on the FCA’s Call for Input on refining its conduct rules as a result of Consumer…
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BNY Investments’ Richard Parkin reminds firms of need for action in retirement planning advice and assessing risk, following FCA portfolio letter to advisers on future priorities
Earlier this week, the FCA sent advice firms a letter detailing areas it will be focusing on over the next two years.…
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The Consumer Duty shift: Striving for success
In a rapidly evolving regulatory landscape, consumer duty has become one of the most significant shifts for financial services in decades. Jenny…
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FCA and PRA appoint new FSCS Chair
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have appointed Elizabeth Passey as chair of the Financial Services Compensation…
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The FCA’s balancing act: Rahman Ravelli’s Niall Hearty looks at the regulator’s enforcement successes amidst economic growth goals
In this exclusive insight for IFA Magazine, Rahman Ravelli Partner, Niall Hearty, looks at the latest FCA annual report and shares his…
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Embracing Consumer Duty: Sector leaders endorse CII Professional Map on two-year anniversary
As the Financial Conduct Authority’s (FCA) Consumer Duty cements a cultural shift in how insurance and personal finance professionals deliver better customer…
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FCA publishes update on cash savings market and fair value
Today the Financial Conduct Authority (FCA) has published an update on the actions it has taken since their July 2023 cash savings…
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Adviser focus | Truly Independent’s Katie Brinsden has been finding some positives in the perceived pain of regulation
In this, in her latest blog for IFA Magazine, Katie Brinsden (pictured), Managing Director at the national, directly- authorised IFA, Truly Independent,…