Consumer Duty – FCA Live and Local events

The FCA have advised they will be hosting a series of Live and Local events across the United Kingdom on the Consumer Duty from 21 February 2023 to 15 June 2023.


Aimed at small and medium sized firms, the events will focus on the Retail Investment and Mortgage sectors and compliance consultants are also able to register to attend.

Presented by Gordon Findlay and Mark Goold, the sessions are designed to help small and medium sized firms understand:

  1. The background to, and key elements of, the Consumer Duty
  2. The areas firms should consider ensuring they are meeting the new requirements
  3. How the Consumer Duty applies proportionately
  4. Our supervisory approach to the implementation of the Consumer Duty

They will include information tailored to the needs of small and medium sized mortgage and retail investment firms, and will offer opportunities for questions.

Information for regulated firms

In addition to these events, firms across sectors can learn more about the Consumer Duty from a range of resources:

  1. Detailed Finalised Guidance
  2. Dedicated section for firms on our website
  3. On-demand webinars tailored to specific sectors

These two-hour events will be of interest to small and medium sized firms in mortgage and retail investment sectors, and their compliance consultants.

Registration fee per person per session:

  1. Regulated firms £85
  2. Compliance consultants £170

The full schedule is available on the dates and locations page.

To register, please click here.

Important Note: ATEB news is intended to provide general information ONLY. The content, including any views expressed or guidance provided, does not replace the need to comply fully with FCA Rules and Guidance. Unless you have discussed news article content with ATEB, and specifically how it relates to your circumstances, then ATEB disclaims all liability and responsibility and actions arising from any reliance placed upon it. For the avoidance of doubt therefore, any reliance you place on such information without our consultation is at your own risk.

ATEB Compliance offers compliance and regulatory advice.

ATEB Suitability provides report writing software for the financial services market.

Our View

For information. Don’t forget that ATEB can help firms to implement Consumer Duty effectively.

Action Required By You

Firms should register if they wish to attend one of these events.
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About the Author

Richard is a Chartered Financial Planner and a Fellow. He has a long track record of implementing compliance regimes for firms large and small. His expertise and qualifications are broad, including pensions, investments, home finance, consumer credit and general insurance.

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