Compliance Insights Articles

The Financial Conduct Authority have published their Business Plan for 2021 / 22. The plan sets out the Regulator’s rationale for major...

Here is our regulation round up for July 2021 covering all the major compliance and regulatory updates you should be aware of for...

Protection for consumers continues to drive the Financial Conduct Authority’s ongoing work. Their consultation on a new ‘Consumer Duty’...

Here is our financial services update for June covering all the major compliance and regulatory updates you should be aware of. The...

Debt is a very personal issue, and it means different things to different people. The statistics published over the previous year have...

There have been quite a few recent financial services updates from the FCA and Financial Ombudsman Service that firms need to be aware...

The FCA has published their final rules on how firms should approach operational resilience. The rules aim to ensure the financial sector...

With the FCA’s Statement on firm handling of complaints during coronavirus no longer in force, all firms are now expected, once again, to...

The Breathing Space Regulations came into effect earlier this month, with the UK government estimating that the new rules will help...

The FCA published their H2 2020 complaints data at the end of April. The aggregate data shows that the number of complaints has decreased...

As the industry begins to look to a future beyond the pandemic, maintaining a focus on the effects on vulnerable consumers becomes even...

As always, we aim to keep you right up to date with all matters to do with financial services regulation and compliance, as such we have...

Firms for which the Consumer Credit Sourcebook (CONC) applies are reminded that updates to the Handbook will come into force on 4 May...

As we come into the second quarter of this year it is a good opportunity to review what we can expect to see on the FCA’s agenda for this...

Looking beyond the 31 March deadlines for the Conduct Rules, Certification Regime, Directory Persons and the deadline for consumers to...

Looking ahead over the first half of 2021, there are a number of upcoming changes and challenges that will be of interest to the...

The FCA define vulnerability as “someone who, due to their personal circumstances, is especially susceptible to harm, particularly when a...

The Financial Conduct Authority have published their finalised guidance on the fair treatment of vulnerable customers, in support of...

The Woolard Review, chaired by Christopher Woolard and conducted over a number of months from September 2020 to early 2021 reviewed...

Published on 2 February 2021, the Woolard Review has highlighted ‘an urgent need’ to regulate all buy now pay later (BNPL) products. The...