Consumer Duty board report – Ticking boxes fails
I’m writing this article a week before the deadline for the second annual Consumer Duty…
Browsing: Regulatory Specialist
SMCR Review CP25/21
The Senior Managers and Certification Regime (SMCR) has been with us since December 2016 for…
Square pegs
John Griffith Chaney died at the age of forty. Better known in literary circles as…
Raising the bar for commercial benefit and Consumer Duty success
This year promises to be a pivotal year for firms as they continue to embed…
What is the “T” in Training and Competence all about?
What am I talking about? In this instance, I’m referring to assessing training needs and…
FIT for purpose?
The Fit and Proper test for Employees and Senior Personnel sourcebook, or FIT is in…
Where’s the printer?
In the client facing area of financial services, there is a school of thought, that…
Client annual reviews
In February 2024, the FCA wrote to a number of financial advisory firms requesting information…
The foundations for demonstrating good consumer outcomes
The first anniversary of the Consumer Duty (CD) regulation has now passed, with board reports…
It’s time for change: Equipping employees for the Consumer Duty era
“Consumer Duty that will set higher and clearer standards of consumer protection across financial services…