2021

Consumer Duty – the shape of things to come?

30 August 2023 Paul JayCompliance

In its numerous publications prior to the implementation of Consumer Duty, the FCA promised that it would be more proactive

14 June 2023 Paul JayCompliance

One of the FCA’s recent publications, Regulation Round Up, contained several interesting articles. Of course, Consumer Duty occupied plenty of

25 January 2023 John BeggCompliance

The FCA have advised as follows: “We’re asking a number of firms to complete this survey to help

15 December 2022 Paul JayCompliance

As part of the Government’s reforms of previous EU legislation, next on the list is the proposal to scrap the

25 November 2022 Alistair MacDougallCompliance

We have received the following from the FCA. We want to draw attention to a new FCA publication;

5 October 2022 John BeggCompliance

The FCA has issued the following information. We have published a Consultation Paper with proposals to replace the

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

21 June 2022 Richard FosterCompliance

With Consumer Duty requirements set to take effect in Q2 2023 and ahead of the final rules being published –

3 May 2022 Alistair MacDougallCompliance

We have covered regulatory requirements around replacement business, more commonly referred to as switch business, before. As this appears to

5 April 2022 Alistair MacDougallCompliance

The FCA’s proposed Consumer Duty is getting a lot of airplay in the trade media. First mooted in the FCA’s

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