Topic Archives

A reflection: Identifying potentially vulnerable customers then and now

The FCA issued Occasional Paper No.8: Consumer Vulnerability in 2015. It was published with

11/06/24 Read more

How to deliver fair treatment to customers who are (or may become) vulnerable

The FCA has recently imposed a fine of over

06/06/24 Read more

Consumer Investments Duty compliance for closed products and services

Ahead of the Consumer Duty implementation deadline of 31 July 2024 for all closed products

23/05/24 Read more

Longer-term mortgage loans surge in popularity with the under-30s

Longer-term mortgage loans surge in popularity with the under-30s Recent

15/05/24 Read more

How to establish a robust evidential trail and deliver fair value for assets under advice customers

As financial service firms await the findings from the FCA’s survey of

18/04/24 Read more

Consumer Duty: FCA review highlights risks for motor insurance customers

FCA outlines new expectations for motor insurers following claims handling review

10/04/24 Read more

News

Consumer Duty: What does the FCA expect from ongoing advice services?

The regulator has written to 20 major financial advice firms to request information on their ongoing

04/04/24 Go to article

FCA Business Plan: 2024/25

The FCA has released its annual

28/03/24 Read more

Regulatory focus on the needs of vulnerable customers for 2024

This month the FCA has published multiple communications which will ultimately impact how

26/03/24 Read more

FCA announces review into firms’ approaches to vulnerability for 2024

On

20/03/24 Read more

FCA urges advisers to re-assess retirement income support processes following review

The FCA has written a new

20/03/24 Read more

Eight steps to implement to support customers in financial distress

The 18th-24th March marks the tenth

20/03/24 Read more

Ongoing advice services and associated charges on FCA’s agenda – and the new focus of claims management companies

Ongoing advice services and any associated charges have been firmly on the FCA’s radar

01/03/24 Read more

Compliance in focus: Your experts' guide to Consumer Duty annual assessments

During its recent multi-firm

29/02/24 Read more

Three steps to preparing for a motor finance redress scheme

The FCA’s recent announcement of a

28/02/24 Read more

News

Assessing vulnerability: How can firms help mitigate risks of DIY SIPPs?

A recent Financial Ombudsman Service decision has highlighted the risks of DIY SIPP arrangements –

09/02/24 Go to article

What you need to know: FCA's S166 Requirement Notices for motor finance firms

On 11th January, the FCA

29/01/24 Read more

Putting customers first: Preparing for your Consumer Duty annual assessment

The FCA rounded up 2023 by publishing its findings into the retail banking Consumer Duty

12/01/24 Read more

News

Regulatory due diligence: Examining firms' priorities for 2024

2023 proved to be another busy year for acquisitions within financial services - and despite the relatively

10/01/24 Go to article

2024 in focus: Are you prepared for the January resource rush?

It goes without saying that 2023 has been challenging for businesses and their customers alike.

13/12/23 Read more

FCA outlines assertive supervisory plans for wealth management firms

Earlier this month, the FCA published a

23/11/23 Read more

Why are equity release and later life mortgages in the FCA spotlight?

The FCA highlights the ongoing risk of poor outcomes for later life mortgage borrowers

14/11/23 Read more

News

Four steps to building an effective Retirement Income proposition

In June, the FCA re-iterated its focus on retirement income as a regulatory priority, requesting information

13/11/23 Go to article

Delivering better customer outcomes under the Consumer Duty

Only

08/11/23 Read more

Intelligent compliance for outcomes that matter

What firms should take from the FCA's latest portfolio strategy letter

Hopcraft: Is DCA PPI2?

FCA fines highlight the need for better customer support

How do large firms with an abundance of resources fall foul of FCA regulations?

Ongoing advice services and retirement income advice are key priorities in the latest FCA update

Insurers unable to demonstrate robust fair value assessments and adherence to product governance

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A reflection: Identifying potentially vulnerable customers then and now

How to deliver fair treatment to customers who are (or may become) vulnerable

Consumer Investments Duty compliance for closed products and services

Longer-term mortgage loans surge in popularity with the under-30s

How to establish a robust evidential trail and deliver fair value for assets under advice customers

Consumer Duty: FCA review highlights risks for motor insurance customers

Consumer Duty: What does the FCA expect from ongoing advice services?

FCA Business Plan: 2024/25

Regulatory focus on the needs of vulnerable customers for 2024

FCA announces review into firms’ approaches to vulnerability for 2024

FCA urges advisers to re-assess retirement income support processes following review

Eight steps to implement to support customers in financial distress

Ongoing advice services and associated charges on FCA’s agenda – and the new focus of claims management companies

Compliance in focus: Your experts' guide to Consumer Duty annual assessments

Three steps to preparing for a motor finance redress scheme

Assessing vulnerability: How can firms help mitigate risks of DIY SIPPs?

What you need to know: FCA's S166 Requirement Notices for motor finance firms

Putting customers first: Preparing for your Consumer Duty annual assessment

Regulatory due diligence: Examining firms' priorities for 2024

2024 in focus: Are you prepared for the January resource rush?

FCA outlines assertive supervisory plans for wealth management firms

Why are equity release and later life mortgages in the FCA spotlight?

Four steps to building an effective Retirement Income proposition

Delivering better customer outcomes under the Consumer Duty