FCA Compliance

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?

Last week, the FCA issued its policy statement and finalised guidance in relation to the new Consumer Duty. So, what is required under the new Consumer Principle?

As the end of the reporting period approaches for non-LPCC firms, is your firm prepared to submit REP008?

The FCA has published its’ Consumer Duty Policy Statement and Finalised Guidance. What do firms need to know?

UK financial services regulation has evolved over the past sixteen years or so, as regulators have sought to provide positive outcomes for consumers and reduce the risk of harm in the market. Consumer Duty, however, takes this consumer-focused regulation to the next level. What should firms be focussing on?

The FCA has recently updated its list of fake FCA emails to include recent reports of fraudulent activity.

The FCA has published its board minutes from a meeting on 26 May, covering, among other things, an update on the Consumer Duty.

Following the introduction of finalised guidance on the fair treatment of vulnerable customers in February 2021, the FCA has published examples of the positive steps firms have taken to embed its guidance and the areas where it expects to see improvement.

RWA has launched a Consumer Duty Gap Analysis to help firms prepare for the new rules expected at the end of July. Is your firm ready?

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