The FCA has published its final report of the Wholesale Insurance Brokers market study.
CultureSprint: Psychological Safety in Financial Services
The FCA has introduced CultureSprint events to consider ‘psychological safety’ in the financial services sector. With SM&CR on the horizon, organisational culture is increasingly in the spotlight. The first event discussed ways in which a healthy culture, where employees can speak up and be listened to, is created and maintained.
FCA to host Brexit briefings for regulated firms
The FCA is to host Brexit briefings for regulated firms.
Are you up to date? All regulated firms are being reminded by the FCA that they need to check their list of registered users of Connect.
Customer Service – Why it matters
Under the Insurance Distribution Directive (IDD), insurance intermediaries must have the minimum necessary knowledge of complaints handling. Here’s why having strong customer service skills provides a solid foundation for meeting this requirement.
FCA Fines on Regulated Firms and Individuals
A fine is one of the most visible penalties that the FCA can impose. As a reminder of how serious enforcement action can be, this article looks at the penalties issued by the regulator over recent years.
The Fifth and Sixth Anti-Money Laundering (AML) Directives
Terence Clark looks at the changes proposed by the fifth and sixth Anti-Money Laundering Directives.
FCA Issues Consultation Paper on SM&CR
The FCA has issued further consultation on SM&CR and is requesting comments on Consultation Paper 19/4: ‘Optimising the Senior Managers & Certification Regime and feedback to DP16/4 – Overall responsibility and the legal function’ by 23 April 2019.