Transforming Compliance and Conduct

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Earlier this week, the FCA published a new policy statement outlining several planned improvements to the Appointed Representatives (AR) regime, which entails a number of new responsibilities for principal firms. The changes are brought to increase the amount of supervision principals are required t

The wait is over, after over a year of debate, speculation and rumours from all corners of the industry, the regulator has now set out the formal set of rules for its long-touted Consumer Duty legislation. First formally proposed in May 2021, the Consumer Duty, as published on 27 July 2022, effect

With its focus on encouraging firms to take a bolder approach to customer care, the FCA intends the Consumer Duty to completely reframe how consumer protection is approached across financial services. But with so much focus on the ‘how’, it’s sometimes easy to forget why such an ambitious init

The FCA’s long-awaited Consumer Duty is expected to hold regulated firms to a whole new standard of customer care - and with less than a year until it comes into effect, businesses should be doing all they can now to ease the transition. In Money Marketing, Associate Director Juana Diaz-Landinez o

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

Latest Insights

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

28/11/22 Read more

Webinar recap: Understanding the Consumer Duty’s good customer outcomes

28/11/22 Read more

Webinar Recap: Why Consumer Duty compliance is critical for financial services firms

15/11/22 Read more

A helpful summary of the FCA’s four Consumer Duty outcomes

26/10/22 Read more