The FCA has launched its updated and enhanced Financial Services Register to protect consumers.
Where will new business come from?
Traditional business methods, such as networking, word of mouth and visiting clients, have been rocked as a result of the coronavirus pandemic. This will have left many brokers asking the question – where will new business come from?
FCA Consulting on Extending Deadlines for the Certification Regime and Conduct Rules
The FCA has published a consultation paper on extending the implementation deadlines for the Certification Regime and Conduct Rules.
The Many Roles of a Compliance Consultant
A compliance consultant is a familiar term within the general insurance sector, but what does the role actually involve, and how many metaphorical ‘hats’ does a consultant have to don?
'Span of Control' - What Firms Need to Know
What is a ‘span of control’? Kirk Ford explains why this remains a question that few firms can effectively answer.
Supervision – File Reviews, Live Observations and KPIs
During these unprecedented times, the FCA expects firms to ensure that monitoring and supervision of staff is ‘business as usual’. Kirk Ford looks at what robust supervision procedures should involve.
Whistleblowing - Be Prepared
Does your firm have a suitable whistleblowing policy in place? Uncertain market and economic conditions may lead to an increase in incidents so it’s worthwhile that all firms review their approach to whistleblowing. This article looks at the key considerations.
FCA Announces its New Data Collection Platform - RegData
The FCA has announced its new data collection platform, RegData, which replaces Gabriel, and explains how firms will be moved across to the new platform.
FCA Publishes Guidance on Assessing Adequate Financial Resources
The FCA has published finalised guidance on a framework to help financial services firms ensure they have adequate financial resources and to take effective steps to minimise harm.