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…
Browsing: Regulatory General
2022 – what kind of year will it be?
While every day should be an opportunity to think about how we are progressing towards…
5 reasons for conduct risk failures- and 1 shared solution
Conduct risk: “Risk associated to the way organisations, and their staff, relate to customers and the wider…
It’s just human nature
Part of the work that I do now involves reviewing announcements from several regulators around…
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…
People and Regulation
Despite financial services regulation being in place for many years, why do we still have…
SM&CR – Is the FCA developing teeth?
Is the FCA developing teeth and beginning to become an enforcer after all? SM&CR has…
Conduct rules – easy as 1,2,3 (4,5) right?…
Why do we need conduct rules? Should people working in financial services already be acting…
Delays to SM&CR implementation deadline gives firms time
Delays to SM&CR implementation deadline gives firms time to ‘level-up’ with technology. Many firms will…
SM&CR rules -Senior Management & Certification Regime – update
In April 2020, the FCA and PRA set out the expectations to help dual-regulated firms…