Danger -Potent Conduct Rules; handle with care
At a recent SMCR (Senior Managers & Certification Regime) conference that I attended, an interesting question was put to the…
GDPR – the first 30 days
So, the most spoken about piece of legislation in many years has finally arrived. GDPR (General Data Protection Regulations) is here…
FCA business plan 2018/19
In their latest business plan the FCA (Financial Conduct Authority) have identified 7 priorities for the next 12 months. Firms can…
Fulfilling the feedback loop
Nowadays it feels like everyone wants your feedback. You order a sofa and you are requested to provide your feedback…
Auto-enrolment compliance; can we trust ourselves to be good?
I like to tease the Financial Times journalist Jo Cumbo that she can trust no-one because of her heritage! Jo…
FCA data and complaint handling review; a new approach required
Although over 3,000 firms are required to submit complaints data to the FCA the number of complaints financial service firms…
