The team at RWA has compiled its quarterly review of the Financial Conduct Authority's communication documents, covering the period from October – December 2018.
Single Financial Guidance Body (SFGB) Launches
The Single Financial Guidance Body (SFGB) has launched, bringing together the provision of debt advice, money guidance and pension guidance.
Changes to Monthly Assessments
From January 2019, Aviva Development Zone users will notice some improvements to the monthly assessments.
Conflicts of Interest
The FCA have banned a UK investment professional from acting as a non-executive director for ‘failing to act with integrity’ – so what are the duties of insurance intermediaries regarding conflicts of interest?
FCA Proposes Changes to the Financial Ombudsman Service (FOS)
The FCA has announced several proposed changes to the FOS which will impact upon all firms.
The Financial Regulators Complaints Commissioner
Did you know that there is a Complaints Commissioner set up to deal with complaints against the regulator?
Q3 2018 Summary of FCA Communication Documents
The team at RWA has compiled its quarterly review of the Financial Conduct Authority's communication documents, covering the period from July - September 2018.
If you are an appointed person or are responsible for compliance within your firm, it is important that you scan through the review, to keep up to date with the latest FCA documentation.
PROD 4 - What you need to know...
PROD 4 is a part of the IDD, which is being promoted as something alarming by some commentators in the market. Robin Wood outlines what you need to know...
IDD - Check on the basics. Do you have the minimum necessary knowledge?
Kate Foreman explains how a minimum necessary knowledge and understanding of insurance can be revealed and benchmarked via the use of structured assessments.