68 Results found.

Consumer Duty: FCA review highlights risks for motor insurance customers

Insight — 10/04/24

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

Compliance in focus: Your experts’ guide to Consumer Duty annual assessments

Insight — 29/02/24

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

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

Insight — 04/08/22

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

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

Insight — 27/07/22

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

The top ten aims of the Consumer Duty

Insight — 12/05/22

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

How prepared are you for the Consumer Duty?

Insight — 25/03/22

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

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

Insight — 12/10/21

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

Insight — 04/10/21

How futureproof is your SMCR strategy?

Insight — 22/09/21

How can advisers prepare for another tumultuous year?

Insight — 04/02/21

Regulation: what you need to look out for in 2021

Insight — 15/01/21

Case study: SMCR post-implementation review

Insight — 06/07/20

What’s next for the SMCR?

Insight — 07/05/20

Connecting the dots: regulatory priorities for 2020/21

Insight — 15/04/20

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

Insight — 11/03/20

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

Insight — 04/03/20

Certification Regime: are you on track?

Insight — 28/01/20

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

Insight — 28/01/20

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

Insight — 22/01/20

Case Study: SMCR assurance

Insight — 19/12/19

Where can I focus my budget to improve culture?

Insight — 17/12/19

Commercial success starts with culture

Insight — 05/12/19

Connecting SMCR to culture

Insight — 07/11/19

How to avoid the top five SMCR mistakes

Insight — 23/09/19