The foundations for demonstrating good consumer outcomes
The first anniversary of the Consumer Duty (CD) regulation has now passed, with board reports…
Monthly Archives: October, 2024
It’s time for change: Equipping employees for the Consumer Duty era
“Consumer Duty that will set higher and clearer standards of consumer protection across financial services…
How has Consumer Duty affected compliance supervision?
The Consumer Duty was introduced to set new, higher standards for firms to adhere to,…
The Skills and Growth Levy: A unique opportunity for financial services – if employers speak up
The UK government’s new Skills and Growth Levy represents a major shift in how businesses,…
Vulnerability and the real advice gap
There has been a lot written about vulnerability; how we assess clients for vulnerability, how…
Why FCA-regulated firms can’t skip audits: It’s more than just ticking boxes
Financial services firms, especially those operating under the watchful eye of the Financial Conduct Authority…
Who or what do you trust?
Yesterday, I attended the Association of Professional Compliance Consultants Culture Working Group for a presentation…
Why does nobody want to pay pensions these days?
I went to the Invesco “Summer” drinks recently, (thanks Invesco) – I think I was…
A perfect storm- change happening all around you
I love a traditional London pub or end-of-the-street boozer. In the 80s, I regularly frequented…
Guidance on the treatment of Politically Exposed Persons
In July of this year, the FCA launched a review of how regulated firms treat…