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As financial service firms await the findings from the FCA’s survey of 20 of the largest ongoing advice service providers, it’s an important time to consider assets under advice and their associated charges. The regulator is collating data about: The number of clients who were due a revie

The FCA has released the findings of its multi-firm review, which assessed motor insurance firms’ claims handling processes for valuing stolen or written off vehicles. The review outlines crucial steps the regulator now expects firms to take to ensure they’re delivering good outcomes for custome

During its recent multi-firm review, the FCA urged boards to place the Consumer Duty at the top of their regulatory agenda – re-iterating how, along with senior leadership, they will ultimately bear responsibility for the outcomes achieved for customers. Ahead of the one-year anniversary of the le

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: 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

SMCR misconceptions: The Certification Regime is easier to implement

19/09/19 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: You don’t need help

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

07/08/19 Read more

Latest Insights

How to establish a robust evidential trail and deliver fair value for assets under advice customers

18/04/24 Read more

Consumer Duty: FCA review highlights risks for motor insurance customers

FCA outlines new expectations for motor insurers following claims handling review

10/04/24 Read more

News

Consumer Duty: What does the FCA expect from ongoing advice services?

04/04/24 Go to article

FCA Business Plan: 2024/25

28/03/24 Read more