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.



New SM&CR Annual Reporting Requirement
Alistair MacDougall Compliance FCA, Pension, SM&CR
Disciplinary action arising from a breach of Conduct Rules must be reported.