FCA Consumer Duty preparedness survey
The FCA has announced that it is conducting a Consumer Duty preparedness survey. The survey is being sent […]
Michael Senior
An ATEB reminder for all staff involved in insurance distribution activities
We thought it appropriate to issue a New Year reminder for firms that have staff … directly involved […]
Product Governance multi-firm review by the FCA
The FCA conducted a multi-firm review to assess whether manufacturers of general insurance and pure protection products are undertaking the […]
FCA Business Plan – 2022/23
The FCA recently published its Business Plan for 2022/23. The plan explains the programme of work for this year to […]
New pension nudge rules
One of our clients recently received this note from a SIPP provider. “You may already be aware that […]
FCA Survey – problem question
We wrote recently about the latest FCA survey. This is mandatory and some firms have been querying how to answer […]
FCA survey number 7 – Tranche 2 firms
The FCA has advised as follows in relation to Tranche 2 firms (see definition list below). “Many of […]
FCA Covid-19 Impact Survey – number 7!
The FCA has advised the following. “We issued the first phase of the Covid-19 Impact Survey in June-August […]
Improving the Appointed Representatives Regime
The FCA has consulted on proposed changes to the Appointed Representatives (AR) regime. The proposed changes aim to reduce potential […]
New financial sanctions measures in relation to Russia
Readers will be aware that, following the invasion of Ukraine by Russia, the UK Government, together with other countries, has […]