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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.
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Regulation of BNPL means a better deal for consumers
New rules will allow Buy-Now-Pay-Later users to benefit from key protections offered by other consumer credit products.
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FCA adviser strategy to review consolidators and data-led supervision
Time for financial advisers and investment intermediaries to review their processes as additional regulatory scrutiny looms.
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Dear CEO letter: FCA’s expectations for financial advisers and investment intermediaries
The FCA wants to work with the industry to ensure consumers receive consistently good outcomes and manage their own finances.