Regulation

The FCA has recently set out new best practice guidance to help firms do more to protect vulnerable consumers.

The FCA has launched its updated and enhanced Financial Services Register to protect consumers.

The FCA has published a consultation paper on extending the implementation deadlines for the Certification Regime and Conduct Rules.

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?

What is a ‘span of control’? Kirk Ford explains why this remains a question that few firms can effectively answer.

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.

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.

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.

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.