Topic archive: Regulation

Regulation

FCA introduces new screening checks for financial adverts

Finance News

One in 10 financial advisers consider quitting due to Consumer Duty

Regulation

FCA plans on regulation of advice due 'later this year'

Regulation

FCA launches review into how firms are handling Politically Exposed Persons

Regulation

FCA fines two directors £1.3m pension transfer advice failings

Regulation

FCA takes first action under Consumer Duty

Blogs

Mike Taylor: Consumer Duty is here – is your website compliant?

Finance News

Quilter launches client communications toolkit for advisers

Special Features

Communications sent under Consumer Duty must still comply with Data Protection law

Regulation

FCA clarifies advice/guidance boundary during cost of living crisis

Blogs

Jodie White: Communication and compliance: How technology can facilitate better customer outcomes

Regulation

Advisers expect to spend almost £20,000 on Consumer Duty

Mortgages

PMS rolls out fair value Consumer Duty support for mortgage advisers

Blogs

Stuart Wilson: The approach advisory firms should take to vulnerability in light of Consumer Duty

Regulation

Regulators scrap £10k compensation cap for failures but say payments will be "modest"