The FCA has published the latest data on its work to tackle harm in the consumer investments market between April to September 2021. The data provides useful insights into specific areas of the FCA’s Consumer Investments Strategy, particularly higher-risk investments and scams.
They have also issued a press release on the data, which you can find here.
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One of a series of roadshows the FCA is running around the country, this session offered some new insights into a topic that should be familiar to advisers but which it seems that many are still not getting right.
Are you prepared for the changes to capital adequacy for personal investment firms that come into effect on 30th June?
More Choice – More Flexibility – More Relevance
The FCA reminds firms of their expectations in relation to conflicts of interest.
FCA Positive Compliance – Mortgage Session
Alistair MacDougall Compliance 2015, 2017, FCA, FOS, Mortgage, PI, Switch, TCF
“The advice process: building a solid base.”
A summary of the FCA mortgage roadshow.