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FCA’s ongoing service review leaves firms with further work to do
With the regulator due to check up on firms later this year, it’s important you review your approach to ongoing service delivery.
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Rathi heralds the FCA’s bold strike to the Gordian knot of regulation
Or is the sword of Damacles hanging over the head of the FCA? We take a look at Rathi’s speech alongside insight from industry experts.
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FCA concerned about conflicts of interest at firms managing private assets
Dear CEO letter to asset managers also highlights market integrity and consumer outcomes as key supervisory priorities.
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OPINION: Can innovation and growth sit comfortably alongside consumer protection?
Gary Watson on themes and challenges in the recent FCA Dear CEO letter.
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Your essential checklists for Consumer Duty Best practice Board reports
Checklists for firms to reflect on whether their annual Board report and RCA processes are aligned with the FCA’s ideas of best practice.
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GRIP Forecast 2025 – Enforcement
The GRIP team looks into the crystal ball and does some plain speaking about what the future might bring – this time looking at general trends in enforcement action by regulators globally.
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Podcast: Mitch Hubble from Pathlight Associates on Skilled Person Reviews
We spoke about Mitch’s work in an FCA-approved Skilled Person Review panel firm, client experience, best practice and the Consumer Duty.
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How wealth managers can avoid misconduct and protect consumers
A year on from the FCA’s Dear CEO “warning shot” to wealth managers on consumer duty and financial crime, we look at how firms can meet these revised expectations.