Regulation and Compliance
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FCA finds vast majority of ongoing suitability reviews delivered
The Financial Conduct Authority (FCA) has reported today that it has found that financial advisers are delivering suitability reviews in the vast…
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‘FCA review of ongoing advice findings welcomed’ – BNY Investments
Richard Parkin, Head of Retirement for BNY Investments, comments on the findings of the FCA’s review of whether financial advisers are delivering ongoing advice…
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FCA finds vast majority of ongoing suitability reviews delivered
The Financial Conduct Authority (FCA) has found that financial advisers are delivering suitability reviews in the vast majority of cases included in…
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FCA steps up action against misleading financial adverts
Nearly 20,000 financial promotions were withdrawn or amended in 2024 following intervention from the FCA – nearly double the amount in 2023.…
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Ten key focus areas for UK-regulated financial services in 2025
As 2025 begins, global law firm Latham & Watkins has published a comprehensive report identifying 10 critical focus areas for UK-regulated financial…
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BareRock enhances vulnerability support for well-managed advice firms, using Comentis technology
Professional Indemnity Insurance (PII) provider, BareRock, has today announced a strategic partnership with Comentis, the duty of care assessment company. The digital-first PII provider…
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Legal Lens: FCA looking to ease Consumer Duty burden as Reeves pushes regulators for growth
As reported by City A.M. late last week, the Financial Conduct Authority (FCA) seems to be looking to ease the burden for…
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The FCA’s 5-year strategy: tackling financial crime and building consumer trust. Analysis from Shoosmith’s Vipond
Brendon Vipond, dispute resolution adviser at leading law firm, Shoosmiths, examines the details of the regulator’s plans and shares his view on…
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FCA consults on new private stock market – PISCES
Proposals for a new platform – The Private Intermittent Securities and Capital Exchange System (PISCES) – where shares in private companies will…
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Firms using GDPR as a scapegoat for Consumer Duty failures risk regulatory action, warns MorganAsh
Firms that are falsely using GDPR as a ‘scapegoat’ for non-compliance with Consumer Duty are risking severe action from the regulator, MorganAsh…
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