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…
Browsing: Regulatory Specialist
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…
Taking on somebody else’s T&C Scheme
Recently I had the opportunity to progress my retirement plans and move to a three-day…
Unintended consequences
Unintended consequences can be defined as the outcomes of a purposeful action that are not…
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…
Hard Times
I hope Charles Dickens will forgive me for borrowing my title from one of his…
Supporting the supervisor
In the January edition of T-C News I wrote about “Empowering the Supervisor” in which…