Q&A part 3: How should firms be considering quality and suitability of advice? Following the 12/03/25 Read more
Q&A part 1: What are the key findings from the FCA’s ongoing advice review? Following the 10/03/25 Read more
Q&A: The important insights from the FCA’s ongoing advice review findings Back in February 2024, following concern from the FCA that ongoing advice services may not 06/03/25 Read more
Understanding and implementing the FCA’s ongoing advice review findings After months of speculation, the FCA has released its findings into its ongoing advice service 25/02/25 Read more
Benefit your business by enhancing customer data In December, the FCA highlighted the need for firms to 18/02/25 Read more
A Consumer Duty recap: frequent obstacles to achieving good customer outcomes It’s been 18 months since the 14/02/25 Read more
Seven key topics to ensure the success of your ongoing advisory reviews The landscape of ongoing advice servicing is being scrutinised by the FCA, and soon, the 12/02/25 Read more
News The benefits of enhancing data capture go beyond compliance - Money Marketing For a number of years, the FCA has stated it strives to be a data-led regulator and with the 06/02/25 Go to article
Overview so far: the expected regulatory hot topics of 2025 Only one month into 2025, the financial services sector is already abuzz with discussions 28/01/25 Read more
Navigating ongoing advice servicing challenges in wealth management Ongoing advice servicing is currently the biggest challenge for the wealth sector and probably 20/11/24 Read more
FCA fines highlight the need for better customer support Two recent huge fines imposed by the FCA have once again spotlighted the ongoing need for 24/10/24 Read more
How do large firms with an abundance of resources fall foul of FCA regulations? The FCA has revealed that 15/10/24 Read more
Ongoing advice services and retirement income advice are key priorities in the latest FCA update On the 7th October, the FCA wrote a 08/10/24 Read more
Insurers unable to demonstrate robust fair value assessments and adherence to product governance TCC’s team of experts has become aware of some firms being challenged by the FCA on their 19/09/24 Read more
Five key questions to consider when changing your advice model Recently there has been an uptick in investment advice firms looking to make some material 22/08/24 Read more
Discretionary commission arrangements review – do I need to act? “Firms who expect the Barclays hearing to result in this issue going away 22/08/24 Read more
Five key priorities for long-term Consumer Duty success TCC recently hosted a multi-sector Consumer Duty forum to review ongoing industry risks and 09/08/24 Read more
When 'safe harbours' become unsafe As the dust settles on the Consumer Duty landscape one year after it was first introduced, 07/08/24 Read more
A reflection: Identifying potentially vulnerable customers then and now The FCA issued Occasional Paper No.8: Consumer Vulnerability in 2015. It was published with 11/06/24 Read more
How to deliver fair treatment to customers who are (or may become) vulnerable The FCA has recently imposed a fine of over 06/06/24 Read more
How to establish a robust evidential trail and deliver fair value for assets under advice customers As financial service firms await the findings from the FCA’s survey of 18/04/24 Read more
