Consumer Duty: The MI conundrum
On 31st July, the FCA’s Consumer Duty comes into force for all regulated firms that…
Author Ian Ashleigh
Ian Ashleigh
I am a diploma qualified, professional, well communicated person, with excellent financial services knowledge. I have a wealth of experience and understanding of financial institutions, the regulation surrounding protection, pensions, investment and mortgage advice and administration procedures. I have a depth of knowledge of the Training and Competence requirements and their application.
Changes to the Appointed Representatives Regime
The central tenet of the FCA’s Consumer Duty is to reduce harm to retail consumers…
Investment Pathways
The financial press has been awash with information about the introduction of Investment Pathways, but…
The Bribery Act 2010: A refresher
It has been reported that the Serious Fraud Office is investigating Canadian aircraft manufacturer Bombardier…
Leadership & Management
In a recent update to a paper on culture and governance published on its website,…
The purpose of a firm
How a firm articulates and communicates its purpose is increasingly a focus for the FCA…
SM&CR -Non-financial misconduct
The FCA opened the new year with a Dear CEO letter entitled “non-financial misconduct in…
2020:The regulatory horizon for Financial Services
A new year and another year of regulatory change in prospect, here are some themes…
GDPR: One year on
During the first quarter of 2018 we were inundated as consumers with an acronym that…
Cryptocurrency and Blockchain
Cryptocurrencies, e.g. Bitcoin, have been in the news a lot, but what are they, what…
