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Latest Insights

Will Value for Money assessments change how advisers compare pension providers?

Why firms need to prove customer outcomes not just report them

European Business Magazine: Mills Review signals the future direction of AI governance in financial services

Insurance Edge: Consumer Duty three years on

FCA highlights value concerns in legacy pension products

BNPL regulation has arrived: the compliance challenge now is proving good customer outcomes

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Lastest Insights

Will Value for Money assessments change how advisers compare pension providers?

Why firms need to prove customer outcomes not just report them

European Business Magazine: Mills Review signals the future direction of AI governance in financial services

Insurance Edge: Consumer Duty three years on

FCA highlights value concerns in legacy pension products

BNPL regulation has arrived: the compliance challenge now is proving good customer outcomes

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FCA issues Impact Assessment on EU withdrawal

On the 29th November the FCA responded to the requests of the Treasury select committee by publishing an impact assessment paper on the UK's departure from the EU...

03/12/18 Read more

Taking the initial steps to SMCR compliance

Many firms have started their program or are in early stages of preparations, but it’s not too late to take the initial steps towards SMCR compliance.

12/11/18 Read more
News

Interrogating advisers' duty of care

Continuing their efforts to ensure customers are treated fairly the FCA has published a discussion paper on 'duty of care'...

03/08/18 Go to article
News

Treating vulnerable customers fairly

Firms are still struggling to ensure that their vulnerable customers are correctly identified and supported throughout the customer journey.

07/06/18 Go to article

The shift towards greater customer accountability

TCC Regulatory Consultant Olivia Brady examines the FCA's approach to customer protection, and how their accountability is on the increase.

17/04/18 Read more
News

Culture is the cornerstone of SMCR compliance

Taking steps to measure, monitor and improve internal culture is the foundation of SMCR compliance.

12/04/18 Go to article
How-to guides

Your guide to the FCA Business Plan 2018/19

11/04/18 Download

Case study: Getting GDPR ready

GDPR expertise leads to regulatory change success

01/04/18 Read more
News

Data deadlines: a timeline to prepare for GDPR

In the run-up to the introduction of the GDPR, here is a checklist of steps firms should be taking to stay ahead of the game

19/02/18 Go to article

Case study: Global compliance operating model

A new global compliance operating model for a sustainable future

14/02/18 Read more

Webinar: GDPR implementation framework

In this webinar, we provide a 5 step framework to help you transition quickly and effectively to a GDPR compliant state.

09/02/18 Read more

FCA update on work in the high-cost credit sector

The regulator’s ongoing work in this area has highlighted a need for market intervention, but also limitations in what traditional intervention methods could realistically achieve in this sector.

05/02/18 Read more

What’s on the culture and conduct horizon for 2018

With levels of regulatory scrutiny showing no signs of abating, we look at where firms can expect the regulator to focus on in 2018.

15/01/18 Read more

Four steps for getting ahead on SMCR

Check out our steps to help you ensure a smooth transition to the new Senior Managers & Certification Regime.

08/01/18 Read more

How is the SMCR Shaping Up?

The FCA's latest consultation provides the clearest indication of how the SMCR is shaping up. TCC's James Marshall highlights the key points.

29/12/17 Read more
News

Compliance Tips for Dealing with Vulnerable Customers

With the FCA making the protection of the vulnerable a high priority, we provide essential tips for effectively handling those customers.

04/12/17 Go to article

Case study: Improving compliance monitoring with conduct risk reviews

Our client saw increased customer satisfaction as a result of an improved customer journey.

02/12/17 Read more
News

The truth exists: 10 common GDPR misconceptions

We've seen confusion from many firms trying, without success, to interpret the GDPR. Lorraine Mouat mythbusts the most common misconceptions to help firms gain clarity from the complexity of GDPR requirements.

01/12/17 Go to article
How-to guides

The FCA's future approach to consumers: A summary

13/11/17 Download

The FCA's future approach to consumers: Key take-aways

TCC regulatory experts provide the key take-aways from the FCA's future approach to consumers publication. All you need to know!

13/11/17 Read more
News

Regulation Overload: Are Advisers Ready For the MIFID II Mountain

We examine why firms must be prepared for a number of process changes no matter whether they choose the FCA's option of recording conversations or taking written notes.

22/09/17 Go to article

Transitioning to SMCR

Following the publication of the FCA's latest Consultation Paper on the SMCR, we explore the regulator's proposals on how it will apply the rules across the industry...

31/07/17 Read more

What Makes Good Conduct Regulation?

We explore Jon Griffith Jones speech on what makes good conduct regulation and the importance of culture for promoting good conduct throughout organisations.

29/03/17 Read more
How-to guides

How to respond to a thematic review effectively

31/10/16 Download
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