Evidencing Consumer Duty, are we there yet?
Now the Consumer Duty (CD) regulation is live and the project teams, so busy for…
Author Julie Pardy
Julie Pardy
Julie Pardy is Worksmart’s Director of Regulation and Market Engagement. Julie is a dynamic, highly engaging, professionally qualified individual who has worked in the field of financial services for the last 25 years and has extensive experience of a wide number of areas such as Regulatory, Governance, Business Quality, Conduct Risk and Behavioural Economics to name just a few. Worksmart has built its reputation by supporting the UK’s leading financial service businesses through the challenges of regulatory compliance. From Training & Competence to Quality Assurance, SM&CR to Complaints Management Worksmart enables smarter business responses. Whether working with an SME or a large corporation, Worksmart’s software solutions create business improvements that also meet the demands of regulatory change. Worksmart software solutions are simple to configure, easy to implement and will help streamline your business processes. With deep experience, comprehensive, award winning product set and wide ranging expertise, Worksmart can be trusted to ensure regulatory change is turned into business advantage.
Consumer Duty: Ensuring compliance, a CD champion perspective
As firms move into the final stages of preparation for the implementation of the incoming…
Consumer Duty: Managing foreseeable harm in the advice process
In my last article (December’s edition), I talked about the fact that once Consumer Duty…
Consumer Duty – the buck stops with you not just your processes……
In my last article (October’s edition), I talked about the value of firms revisiting and…
Upscaling your people processes to meet the demands of Consumer Duty
I’m not sure about you, but pretty much all the commentary I read on the…
An outcomes based future: Are you on the journey?
Compliance teams in most firms will have processes and tools in place for monitoring their…
The new Consumer Duty of Care – The FCA are serious, are firms?
Last December the FCA issued a second Consultation Paper (CP) on the Consumer Duty of…
The Appointed Representatives Regime – Time for an overhaul!
The Appointed Representatives Regime (AR) has been a big part of the retail financial services…
FCA Business Plan 2021-22: A new era for regulation
In my article published in T-C News earlier this year, I talked about the early…
SM&CR – Is the FCA developing teeth?
Is the FCA developing teeth and beginning to become an enforcer after all? SM&CR has…