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By Tom Jeffery - Advisory Director (Operations & Remediation) | 05/04/2023

Operational Horizon: preparing for mass claims

The UK financial services market is a complex and ever-changing industry, with a wide range …

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Categories
14/11/2022

Product Governance in a Consumer Duty World

‘A firm must act to deliver good outcomes for retail customers’ – a phrase I’m …

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09/11/2022

Evidencing Outcomes in a Consumer Duty World

The FCA’s new Consumer Duty is a vital aspect of the current regulatory regime. This …

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12/04/2022

FCA Strategy and Business Plan 2022/23

On 7 April 2022, the FCA issued two key documents. The first was their three-year …

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02/02/2022

Reforming the Appointed Representative regime – a spotlight on Principal and hosting firms

The FCA recently published Consultation Paper 21/34 (CP21/34) aimed at improving the Appointed Representative (AR) …

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07/01/2022

Consumer Duty White Paper – Prepare for tomorrow, today

The FCA has stated that the new Consumer Duty is a ‘paradigm shift’ – find …

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09/12/2021

The new Consumer Duty – higher standards of consumer protection, but what does this mean for firms?

The FCA is consulting for a second time on its wide-ranging regulatory overhaul and evolution …

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08/11/2021

Raising standards in the Appointed Representative Regime

The Principal and Appointed Representative (ARs) relationship has always been an area of keen focus …

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05/10/2021

The FCA’s approach to assessing firms’ culture is rapidly evolving

Culture remains central to how the FCA supervises regulated firms, as highlighted by Sheldon Mills, …

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14/09/2021

Raising the vulnerability bar – ensuring good outcomes for consumers

Creating processes enables firms to achieve operational efficiency and supports risk management. It provides a …

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