2019

Good Consumer Outcomes?

2 August 2023 Lisa CrossCompliance

Thomas Fuller, the 17th Century author and historian said that: “Health is not valued till sickness comes.” It

29 March 2023 Richard FosterCompliance

The FCA has announced a call for input. We’ve published a call for input on whether the thresholds

9 August 2022 Paul JayCompliance

FCA recently published Policy Statement (PS22/11) announcing some key changes to the Appointed Representatives (AR) regime, affecting both AR firms

31 March 2022 Richard FosterCompliance

In March 2019 the FCA published PS19/8 to increase the ombudsman service’s award limit from £150,000 to £350,000 for complaints

15 March 2022 Paul CaineCompliance

The FCA is devoting a great deal of weight to its upcoming Consumer Duty regulations. These will be finalised in

22 February 2022 Alistair MacDougallCompliance

Platforms play a big part in the investment process of most UK firms. According to Defaqto, 94% of advisers place

5 October 2021 Huw ReynoldsCompliance

Even with all the deferrals of deadlines around implementation of the SMCR as a result of COVID, firms should now

21 September 2021 Shirley McKenzieCompliance

One of our clients recently asked this ‘easy’ question. “We are a limited company but the firm is

18 August 2021 Alistair MacDougallCompliance

It has been well publicised that the FCA has aimed increasingly close scrutiny in the direction of firms that have

13 July 2021 Paul CaineCompliance

One of the issues identified in the FCA’s Asset Management Market Study was a lack of competition among fund providers

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