Consumer Duty – the shape of things to come?
In its numerous publications prior to the implementation of Consumer Duty, the FCA promised that it would be more proactive […]
2021
What lies beneath?
One of the FCA’s recent publications, Regulation Round Up, contained several interesting articles. Of course, Consumer Duty occupied plenty of […]
Financial Resilience Survey
The FCA have advised as follows: “We’re asking a number of firms to complete this survey to help […]
10% Portfolio Drop Rule – dropped!
As part of the Government’s reforms of previous EU legislation, next on the list is the proposal to scrap the […]
GI – value measures
We have received the following from the FCA. We want to draw attention to a new FCA publication; […]
Financial Resilience Survey
The FCA has issued the following information. We have published a Consultation Paper with proposals to replace the […]
Changes coming to the Appointed Representatives Regime – and soon!
FCA recently published Policy Statement (PS22/11) announcing some key changes to the Appointed Representatives (AR) regime, affecting both AR firms […]
Ensuring the fair treatment of customers in vulnerable circumstances
With Consumer Duty requirements set to take effect in Q2 2023 and ahead of the final rules being published – […]
Pension switches – what is required?
We have covered regulatory requirements around replacement business, more commonly referred to as switch business, before. As this appears to […]
Consumer Duty – fair value and adviser charges
The FCA’s proposed Consumer Duty is getting a lot of airplay in the trade media. First mooted in the FCA’s […]