RWA recently worked with Ecclesiastical Insurance to deliver a webinar on how to establish a robust training and competency framework. This article looks at why training and competence is so important.
Compliance – Planning Ahead
On the latest podcast from IHRS, Katherine Watkins talks to RWA Regional Business Manager, Carol Jenkins, to discuss regulatory compliance and the benefits of planning ahead.
FCA Publishes Complaints Data for 2021 H2
The FCA has released its complaints data for the period 2021 H2.
FCA Publishes Financial Promotions Data for Q1 2022
The FCA has published financial promotions data for the period 1 January to 31 March 2022 revealing the number of financial promotions that have been amended or withdrawn due to non-compliance with its rules.
The Critical Issues in Financial Regulation – FCA View
In a recent speech, the FCA looks at the current critical issues in financial services, including the cost of living crisis and how its new Consumer Duty will ensure firms take into account ‘good outcomes’ for consumers.
Conduct Rules – A Reminder
Our Development Zone Course of the Month for April is ‘SM&CR – Individual Conduct Rules’. The Conduct Rules set out the basic standards of personal conduct that individuals working in financial services are expected to abide by and apply to almost all staff who carry out financial services roles within a firm.
FCA Publishes 2022/23 Business Plan
The FCA has published its business plan for 2022/23, in which it outlines the work it will undertake over the next 12 months to help deliver the commitments set out in its recent three-year strategy.
FCA Consulting on Regulatory Fees and Levies
The FCA has published a consultation on rates for its regulatory fees and levies in the 2022/23 financial year.
FCA Sets Out its Three-Year Strategy
The FCA has set out a three-year strategy to improve outcomes for consumers and in markets. The new strategy, which covers the period 2022 to 2025, prioritises resources to prevent serious harm, set higher standards and promote competition and positive change.