FCA review of enforcement
In February 2024, the FCA published CP24/2: Our Enforcement Guide and publicising enforcement investigations –…
Yearly Archives: 2024
Leading by example: The importance of senior managers undertaking CPD
As a minimum, firms are required by regulation to ensure employees maintain adequate knowledge of…
How to ensure that your new processes get embedded into your business, and fast!
In this article, we dive into Human Behaviour and 6 strategic tips for embedding and…
Have we forgotten the art of customer service?
Last week, I attended a monthly meeting of my trade body – the Professional Speaking…
Why every FCA regulated firm needs a risk register
In the fast-paced world of financial services, managing risk isn’t just about ticking boxes for…
What is to be done about workplace GPPs in a master trust world
Rachel Reeves spoke to colleagues at the Times CEO conference about the importance of DC…
Cyber security training doesn’t work!
A somewhat contentious title to this month’s article. However, please don’t shoot the messenger –…
Firms having to take a long hard look in the mirror over fees and interest payments
Many changes to the financial industry have been implemented because of the new Consumer Duty…
Do we need a more modern approach to addressing T&C?
In a previous article, we looked at the FCA’s focus on fair value and how…
Advice v Guidance
This has been a question that the financial services industry has been struggling with over…