What lies beneath?
One of the FCA’s recent publications, Regulation Round Up, contained several interesting articles. Of course, Consumer Duty occupied plenty of […]
PI
Negative equity – how much of a risk is it?
In 1644, English judge Sir Edward Coke was quoted as saying: “For a man’s house is his castle” and this […]
Consumer Duty – adviser charging and risk premium
At a recent compliance seminar, there was much discussion about adviser fees in light of the imminent Consumer Duty requirements. […]
Do you mark your own homework?
Most firms will have at least vague recollections of the FSA’s thematic review of pension switching and the report it […]
Consumer Duty – Identifying Foreseeable Harm
Niels Bohr, the Nobel laureate in Physics and father of the atomic model, is quoted as saying, “Prediction is very […]
Opt-out and permissions
A change is as good as a rest they say. So here is a compliance related article that does not […]
Gig Review!
Well, sort of. OK, this is another Consumer Duty themed article but, following our attendance at the FCA’s […]
Consumer Duty: It’s a matter of Principle
Apologies for the Consumer Duty overload but unless you’re taking a regulatory sabbatical, this is very much a hot topic. […]
Consumer Duty isn’t the only thing that’s new on 31 July
Most of the talk in the financial services industry relating to 31/7/23 focuses on Consumer Duty and for good reason, […]
Consumer Duty – Are you a manufacturer?
In our article last week, we highlighted the deadlines for implementation of Consumer Duty – 30 April and 31 July […]