Regulation and Compliance
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Banks need to help ‘break the spell’ of romance scams
The Financial Conduct Authority (FCA) found examples of banks going to significant lengths to protect those at risk of romance fraud. But…
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TISA welcomes SMCR reform proposals to reduce regulatory burden and recommends further practical improvements
The Investing and Saving Alliance (TISA) has welcomed the proposed reforms to the Senior Managers & Certification Regime (SMCR) set out by…
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Regulatory outlook: the case for a ‘Pension Tax Lock’ and what the state pension age review could mean for future pensioners
Key regulatory and legislative developments are set to impact the UK personal finance, pensions, and financial planning sector this October. AJ Bell’s…
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PIMFA responds to HMT’s Financial Ombudsman consultation
PIMFA has today issued its response to HM Treasury’s consultation on the review of the Financial Ombudsman Service (FOS). PIMFA supports the reforms’…
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Consumer Duty two years on: Consumer understanding outcome drives creative thinking | Chris Jones, Dynamic Planner
Two years after its introduction, Consumer Duty continues to reshape how firms engage with clients. In this instalment, Dynamic Planner’s Chris Jones…
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TISA urges HM Treasury to address missed opportunities in Money Laundering Regulations reform
The Investing and Saving Alliance (TISA) has today urged HM Treasury not to miss key opportunities in its draft reforms to the…
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7,860 firms deauthorised from the FCA register in 2025
New research from ISS Market Intelligence (ISS MI), the leading provider of data and insights to the global financial services industry, has…
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How the failure to prevent fraud offence brings fresh compliance risk to the UK’s financial advice | Ted Datta, Moody’s
In this piece from Moody’s, Ted explains how the UK’s new Failure to Prevent Fraud (FTPF) law extends liability to advisers, planners,…
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First court appearance for three ‘finfluencers’ charged in FCA-led global crackdown on illegal promotions
Charles Hunter, Kayan Kalipha and Luke Desmaris appeared before Westminster Magistrates’ Court today, each individually charged with an offence relating to their…
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FCA: Proposed contactless changes could increase convenience for consumers
People could benefit from the convenience of contactless payment when making larger payments, under proposals being consulted on by the Financial Conduct…
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