FCA Compliance

To ‘avoid causing foreseeable harm to retail customers’ is the second of three cross-cutting rules under the FCA’s new Consumer Duty. What is ‘harm’, and how might a firm knowingly or unknowingly, cause harm to their customers?

A recent Supreme Court hearing has highlighted the importance of properly verifying a candidate’s qualifications and suitability for a post. Are you aware of the requirements for regulatory referencing under SM&CR?

To “act in good faith towards retail customers” is one of three cross-cutting rules under the FCA’s new Consumer Duty but what does it really mean for firms?

A recent Lloyd’s of London bulletin has set out requirements to exclude state-backed cyber-attacks from standalone cyber insurance policies. What impact does this have for firms, and why is it important, now more than ever, to have cyber insurance coverage?

The FCA’s new Consumer Duty introduced three cross-cutting rules. How do they interact with the other elements of the Duty?

Under the new Consumer Duty, what level of responsibility do customers hold for their own outcomes?

With the REP021 deadline fast approaching, is your firm prepared to meet the reporting requirements?

With the final details of the Consumer Duty confirmed, how are firms expected to implement the new rules across their products and services?

The FCA has confirmed new rules to increase firms’ responsibility for the oversight of their Appointed Representatives (ARs). What are the implications for Principal Firms?