Part 1: Understanding poorer outcomes for vulnerable customers
Understand the FCA’s concerns regarding vulnerable customers. Learn why inconsistent execution causes worse outcomes and how to address barriers to…
Solution: Consumer Duty
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Firms express low confidence in current vulnerability support
Discover why only 18% of firms feel highly confident in supporting vulnerable customers, what recent FCA fines reveal about the…
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Preparing for change: FCA’s review of protection product distribution and value
The FCA’s Market Study into pure protection product distribution focuses on commission arrangements, fair value and vulnerable customers. This article…
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Part 2: FCA’s ongoing advice services review: next steps for wealth managers
Discover the evidence wealth managers need to comply with the FCA’s ongoing advice services review. Learn about client categorisation, legacy…
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Wealth managers signal the FCA’s ongoing advice review presented better findings than they expected
A TCC poll found many wealth managers hold only partial evidence of ongoing advice reviews. This looks at what the…
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What risks remain for firms following the FCA’s ongoing advice review findings?
TCC’s regulatory experts discussed the FCA’s ongoing advice review findings in a dedicated webinar, covering evidencing standards, review quality, chronology…
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How can firms keep their ongoing advice services compliant?
Learn the dual go-forward and backward-looking compliance strategies required to keep your ongoing advice services fully compliant under the FCA’s…
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How should firms be considering quality and suitability of advice?
Discover why advice firms must shift their focus from simple service delivery checklists to robustly monitoring and evidencing the suitability…
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What should firms do about disengaged clients?
Learn how advice firms should manage disengaged clients under the FCA’s ongoing advice review, and understand the data, disengagement policies,…
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Q&A: The important insights from the FCA’s ongoing advice review findings
TCC’s Q&A video unpacks the FCA’s ongoing advice review findings, explaining what firms must do about clients who did not…