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Your Regulatory In Tray
At the very end of 2022 a package of reforms to UK financial services was announced by the Chancellor. Called the “Edinburgh reforms”...
Robert Bell
Jan 19, 2023
Data Protection Developments
The passage of the UK Government’s proposed Data Protection and Digital Information Bill was paused in late summer 2022 to allow for...
Robert Bell
Jan 12, 2023
New Year Priorities for the Regulator
The New Year opens to a balancing act as uncertainty around the future of the regulatory framework is tempered with confirmed plans to...
Robert Bell
Jan 5, 2023
Financial Crime Developments
2022 saw the beginnings of a sea-change in financial services regulation, and 2023 shows no sign of the complex changes – in both...
Robert Bell
Jan 3, 2023
Financial Difficulties And The Consumer Duty
As we get to grips with the Consumer Duty and the framework needed to be installed, we begin to have scope to look at the finer details...
Robert Bell
Dec 15, 2022
Consultation On The Introduction Of A Financial Resilience Regulatory Return
The Financial Conduct Authority’s Consultation on a new quarterly financial resilience return has just closed, with the new rules...
Robert Bell
Dec 8, 2022
Importance Of Great Conduct Rules Training
The consumer duty is bringing in a new conduct rule – Individual Conduct Rule 6 - which mirrors the new Consumer Principle. It will...
Robert Bell
Dec 1, 2022
Improving The Appointed Representatives Regime
Changes to the Appointed Representatives (AR) regime are due to come into effect on 8 December 2022. The changes affect both principal...
Robert Bell
Nov 24, 2022
Consumer Duty Q&A
We’re now deep into the implementation stage of the Consumer Duty, most firms have now more or less got their head around the...
Robert Bell
Nov 18, 2022
Borrowers In Financial Difficulties: Time To Take Action
The pandemic had an unprecedented impact on customers, many suffered reduced income and others, unfortunately, job losses. However, this...
Robert Bell
Nov 10, 2022
Regulatory Round Up: November 2022
A speech by the Financial Conduct Authority’s Chief Executive, Nikhil Rathi, delivered in late October, set out some of the context...
Robert Bell
Nov 3, 2022
Consumer Duty Implementation: Plans Must Now Be In Place
31 October 2022 is a date that looms large for Senior Managers of financial services firms. And, unlike the UK Government’s budget, that...
Robert Bell
Oct 27, 2022
Managing the Cost of Living – What The FCA Expects
With the cost-of-living crisis continuing to bite as October draws to a close, financial services firms are walking an ever-longer...
Robert Bell
Oct 20, 2022
Cost of Living – Latest FCA Dear CEO letter
As the sustained increase in the cost of living continues to bite, the FCA have published a Dear CEO letter to insurance firms. The...
Robert Bell
Oct 6, 2022
The Consumer Duty: How to Create a Product Approval Process
The Consumer Duty requires firms to formally take steps to understand the features of their products including risks and benefits for...
Robert Bell
Sep 29, 2022
Importance Of Using FOS Decisions To Improve Your Service
At the end of July, the Financial Conduct Authority announced its finalised plans for the Consumer Duty, an important component of the...
Robert Bell
Sep 22, 2022
The Consumer Duty: Value Assessments
As firms continue to get to grips with the details of the new Consumer Duty, in particular the detailed requirements set out in PRIN 2A,...
Robert Bell
Sep 16, 2022
The Cost of Living: Supporting Customers Through Financial Difficulties
The steep increase in living costs that are about to hit UK consumers over the winter has the potential to be the biggest rise in...
Robert Bell
Sep 8, 2022
Your Journey to Consumer Duty Compliance
On 31 July 2023, the Consumer Duty will apply to all regulated and ancillary activities of firms authorised under FSMA, in relation to...
Robert Bell
Sep 1, 2022
Introducing the Consumer Duty
Many of us will be familiar with the failings of financial services providers in recent years. Whether it’s payment protection insurance,...
Robert Bell
Aug 26, 2022
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