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.
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.
Scheme data templates are available to make the process of obtaining scheme and member information more efficient.
Upgraded Costs and Charges Statement & Much More
The FCA has written to mortgage intermediaries setting out its expectations for mitigating identified risks to customers.
FCA expectations of all firms involved in claims management, including advisers wanting to help their own clients to pursue a complaint.
FCA reminder of SMCR Implementation
Alistair MacDougall Compliance FCA, SM&CR
Firms are reminded of the requirements and deadlines for implementing the SM&CR.