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…
Browsing: Regulatory Specialist
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…
T&C Scheme Framework – How to build your scheme 2024 version
We are often asked how to build or structure a T&C scheme or Competence framework.…
Do we need a more modern approach to addressing T&C?
In a previous article, we looked at the FCA’s focus on fair value and how…
When CPD simply is not… CPD
Recently I witnessed what I would consider to be the wrong approach to Continuous Professional…