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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The FCA has published details of its new approach to consumer protection, which the regulator hopes will give consumers the confidence to invest. It is hoped that the strategy will lead to fewer people being scammed or persuaded to invest in products too risky for their needs. The FCA will publish metrics to assess whether […]
ATEB has worked with many firms over the past few years in relation to defined benefit pension transfer advice. This is due in part to the significant increase in pension transfer activity following the ‘freedoms’ that came in with the Pensions Act 2015 and in part due to the deluge of rule changes introduced by […]
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FCA expectations in relation to remote or hybrid working
Alistair MacDougall Compliance Call Recording, COVID-19, FCA, PI, protected, protection, recording, Register, Senior Manager, training
The coronavirus (Covid-19) pandemic has resulted in many firms adopting remote working for some or all employees. Indeed, some of you reading this article right now might well be in a kitchen or home office, in permanent dress down mode (remember when that only happened on the last Friday of the month?) and perhaps even […]