Regulation and Compliance
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FCA strategy aligns with UK growth agenda, but clear success metrics still to emerge – Capco
Michael Shand, Managing Principal at financial services focused technology and management consultancy Capco, comments on the Financial Conduct Authority’s new five-year strategy announcement.…
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Simplybiz launches bespoke compliance digitisation tool for member firms
Simplybiz has announced the launch of a compliance digitisation tool, Navigator, a custom version of regtech provider ifaDASH’s platform, available exclusively to…
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FCA urged to stick with principles-based regulation on investment disclosure
Rachel Vahey, head of public policy at AJ Bell comments: “We welcome and support the FCA’s efforts to make sure customers have…
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Addressing the elephant in the room during the FCA’s Vulnerability Review | Comentis’ Jonathan Barrett looks at what’s missing
Jonathan Barrett (pictured), CEO of Duty of Care Assessment firm, Comentis shares some of his key takeaways from the FCA’s Vulnerability Review.…
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FCA decides to fine and ban Robin Crispin Odey
Mr Odey has referred his Decision Notice to the Upper Tribunal where he and the FCA will present their cases. Any findings…
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ABI responds to FCA update on enforcement proposals and its joint update with the PRA on diversity and inclusion
On the FCA’s latest update not to take forward its proposals to publicise enforcement investigations: ABI Director General Hannah Gurga said: “The FCA’s…
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FCA issues statement updating on its enforcement transparency proposals and D&I – plus reaction
The FCA has released the following statement today, which we have published below in full – as well as including some reactions…
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New PFS guidance consolidates resources for Consumer Duty compliance
The Personal Finance Society (PFS) has published new guidance that consolidates Consumer Duty resources to support firms and personal finance professionals with…
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Changes in legislation needed to support DB Scheme surplus and unlock £400bn worth of capital, warns Hymans Robertson
Regulatory reform could potentially generate £400bn of surplus capital in DB pensions schemes according to analysis by Hymans Robertson. The firm calculates…
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Understanding the FCA’s priorities: Key insights for advisers
The financial advice sector is no stranger to regulation, but the Financial Conduct Authority (FCA) has made it clear that firms must…
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