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Three steps to the Consumer Duty starting line

Prepare for 2023: The importance of robust evidencing for Equity Release firms

Three steps to review your Retirement Income advice

FCA’s Appointed Representative regime and the regulatory focus on Principal firms

Rethinking vulnerability for the Consumer Duty era

What can firms do to support their vulnerable customers during the cost-of-living crisis?

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Lastest Insights

Three steps to the Consumer Duty starting line

Prepare for 2023: The importance of robust evidencing for Equity Release firms

Three steps to review your Retirement Income advice

FCA’s Appointed Representative regime and the regulatory focus on Principal firms

Rethinking vulnerability for the Consumer Duty era

What can firms do to support their vulnerable customers during the cost-of-living crisis?

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SMCR & accountability

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The FCA's Appointed Representatives (AR) regime: more stringent oversight rules to take effect in December 2022

Earlier this week, the FCA published a new

04/08/22 Read more

New Consumer Duty: firms are required to have an implementation plan in place by October 2022

The wait is over, after over a year of debate, speculation and rumours from all corners of the

27/07/22 Read more

The top ten aims of the Consumer Duty

With its focus on encouraging firms to take a bolder approach to customer care, the FCA intends

12/05/22 Read more
News

How prepared are you for the Consumer Duty?

The FCA’s long-awaited Consumer Duty is expected to hold regulated firms to a whole new standard of

25/03/22 Go to article

Staying SMCR compliant: when might you need to reassess staff?

12/10/21 Read more
News

Looking back on two years of SMCR: what has changed?

04/10/21 Go to article

How futureproof is your SMCR strategy?

22/09/21 Read more
News

How can advisers prepare for another tumultuous year?

04/02/21 Go to article

Regulation: what you need to look out for in 2021

15/01/21 Read more

Case study: SMCR post-implementation review

SMCR review brings peace of mind in a chaotic time

06/07/20 Read more
News

What's next for the SMCR?

07/05/20 Go to article
How-to guides

Connecting the dots: regulatory priorities for 2020/21

15/04/20 Download
How-to guides

Connecting the dots: Your guide to the FCA's Sector Views 2020

11/03/20 Download
News

Culture is at the heart of this year's compliance challenges

04/03/20 Go to article

Certification Regime: are you on track?

28/01/20 Read more

The who, the how and the what of generating a healthy culture

28/01/20 Read more

What are the top risks advice firms should look out for?

22/01/20 Read more

Case Study: SMCR assurance

Bringing peace of mind to a firm before submitting to the FCA

19/12/19 Read more
News

Where can I focus my budget to improve culture?

17/12/19 Go to article

Commercial success starts with culture

Where does culture come on your list of priorities? Lorraine Mouat looks at running a commercially successful business with culture at the top of your to-do list.

05/12/19 Read more

Connecting SMCR to culture

07/11/19 Read more
News

How to avoid the top five SMCR mistakes

23/09/19 Go to article

SMCR misconceptions: The Certification Regime is easier to implement

19/09/19 Read more

SMCR misconceptions: It’s all just a tick-box exercise

In this instalment, we take a look at another mistake firms can make when thinking about SMCR.

04/09/19 Read more
View more Insights

Read more from our SM&CR series

SMCR misconceptions: You don’t need help

Here's why independent assurance is a must for SMCR compliance

07/08/19 Read more

SMCR misconceptions: There’s no need to plan for unexpected delays

Even the best laid plans run into difficulties. In this instalment we examine how you need to factor in time for delays when it comes to SMCR.

14/08/19 Read more

SMCR misconceptions: The Certification Regime is easier to implement

19/09/19 Read more
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