Where’s the printer?
In the client facing area of financial services, there is a school of thought, that…
Browsing: Regulatory Specialist
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…
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…