An outcomes based future: Are you on the journey?
Compliance teams in most firms will have processes and tools in place for monitoring their…
Browsing: Consumer Duty
Consumer Duty – coming to a fact find near you
Over the years, the FCA has been fighting a (losing) battle to try to stop…
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…
VIDEO FIT and Proper Assessments – what the rules tell us
OBJECTIVES To work through the regulations that govern a FIT and proper assessment under the…
VIDEO SMCR (Senior Management & Certification Regime) Core Firms
Objectives To work through the increased SMR regulations as they apply to core firms and…