The FCA has published draft guidance on new powers that will allow it to move faster when removing regulatory permissions that are no longer being used by firms.
Integrity, Dishonesty and the FCA
As the FCA has a Decision Notice upheld in the Upper Tribunal, Katherine Watkins looks at the potential implications of an individual’s behaviour - both within and beyond their professional role - from a conduct risk perspective.
Ethical Behaviour in Business
The IDD requires insurance intermediaries to demonstrate the minimum necessary knowledge required for their role across eight core competencies – one of which is ‘business ethical standards’. Why is ethical behaviour in business important?
Complaints Handling – Are your procedures up to scratch?
Are your complaints handling procedures up to date and in line with the FCA’s expectations? Kirk Ford outlines what firms need to consider.
The Case for Diversity
Katherine Watkins explains why diversity must be priority for any employer in today’s financial services sector.
Financial Wellbeing – How can Employers Help?
In this article, Laura Findlay focuses on financial wellness – where individuals feel in control of their current and future financial situation. Finances play a critical role in employee wellbeing so how can employers help?
Digital Exclusion and Vulnerable Customers
An increased reliance on technology during the Covid-19 pandemic has highlighted the problem of digital exclusion. What impact could this have on vulnerable customers?
Adjusted Right to Work Checks Extended
The government has announced that the end date for the temporarily adjusted Right to Work checks has now been deferred to 5 April 2022.