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Regulatory Update – November 2023
A new proposal to introduce three new Product Sales Data returns has been published by the FCA. The regulator suggests that the...
Robert Bell
Nov 23, 2023
Fair Value Assessments
In a speech made on 1 November 2023 the FCA’s Director of Cross Cutting Policy and Strategy made clear that the Consumer Duty is not a...
Robert Bell
Nov 16, 2023
UK’s Economic Crime Plan 2023-2026
Last March the UK Government released its second Economic Crime Plan spanning 2023 through to 2025. It expands on the first plan which...
Robert Bell
Nov 9, 2023
FCA Applications
The FCA are now in the process of updating some of the most commonly used Connect forms with Form A – used to apply for Senior Management...
Robert Bell
Nov 2, 2023
The Consumer Duty, what now?
We’ve probably all heard colleagues say the phrase “now the duty is implemented,” I’ve certainly heard this from clients on many...
Robert Bell
Oct 26, 2023
Regulatory Round up: October 2023
The FCA published its decision notice on 12th October; James Staley has referred the notice to the Upper Tribunal, so this notice is...
Robert Bell
Oct 20, 2023
Operational Resilience – 7 steps to success and a helpful guide
Operational resilience is fast becoming a cornerstone of FCA compliance. In March 2021 the FCA published their rules and final guidance...
Robert Bell
Oct 12, 2023
FCA's 23/24 Focus: Combatting Financial Crime and Enhancing AML Measures
One of the Financial Conduct Authority's main commitments for 2023/24 is “reducing and preventing financial crime.” To support this, it...
Robert Bell
Oct 5, 2023
Forbearance options – A wide view
As September draws to a close, there’s some good news for those struggling with the cost of living, as the inflation rate has stopped...
Robert Bell
Sep 28, 2023
FCA Updates: September 2023
As we leave summer behind and autumn rolls in, we usually expect a flurry of action from the FCA. To help you keep up we’re going to...
Robert Bell
Sep 21, 2023
Empowering Consumers: The FCA's commitment to executing the Consumer Duty
Following a review of the cash savings market, the FCA has released an action plan in relation to savings rates offered by Banks and...
Robert Bell
Sep 11, 2023
Regulatory Round Up: September 2023
The first full month of the Consumer Duty is now under our belts, and as firms across the industry continue to flesh out the early...
Robert Bell
Sep 7, 2023
Cost of Living – good practice and good outcomes in consumer credit
The Consumer Duty – coming as it has, in the middle of a cost-of-living crisis - puts consumer credit firms in a tight spot. UK customers...
Robert Bell
Aug 31, 2023
A Focus on: Supporting Vulnerable Customers
In an increasingly interconnected and fast-paced world, businesses play a pivotal role in providing products and services to a diverse...
Robert Bell
Aug 24, 2023
FCA's Guidance on Mortgage Borrowers Amid Cost-of-Living Crisis
In the midst of the continuing cost-of-living crisis, the financial burdens on households remain a central concern for the Financial...
Robert Bell
Aug 17, 2023
The Consumer Duty – what’s next?
Many firms have understandably prioritised their activity to comply with the substantive consumer duty requirements prior to 31 July...
Robert Bell
Aug 10, 2023
The ICO and FCA joint letter to UK Finance and the Building Societies Association
Following some confusion across the industry, the ICO, together with the FCA, have confirmed that firms can write to customers with...
Robert Bell
Aug 3, 2023
Regulatory Round up – July
In the week before the Consumer Duty is implemented for UK financial services firms, the Financial Conduct Authority issued a warning to...
Robert Bell
Jul 27, 2023
The Final Week of Preparations for the Consumer Duty
There is now just under a week to go until the Consumer Duty is live. Expected to bring extensive changes across the industry, the Duty...
Robert Bell
Jul 20, 2023
The Importance of Complaints
The word is enough to strike fear into the heart of anyone who works in financial services. As unlikely as it might seem, however,...
Robert Bell
Jul 13, 2023
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