By Sara Haworth - Senior Consultant | 28/01/2025

2025 Consumer Duty Board Report – An Updated Guide

On 11 December 2024, the Financial Conduct Authority (FCA) issued its findings of the review …

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Effective Broker Oversight – Finance Providers

Effective Broker Oversight has become essential to ensuring regulatory compliance and delivering positive customer outcomes …

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The Strategic Advantage of Outsourcing Compliance Monitoring

In today’s evolving regulatory landscape, firms authorised and regulated by the FCA face increasing pressure …

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The FCA’s Vulnerability Review – A Deep Dive

On 7 March 2025, the Financial Conduct Authority (FCA) published the findings from its thematic …

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Two and a half years on: How have Wealth Management firms responded to the Consumer Duty

The introduction of the Consumer Duty has seemingly started a new chapter for wealth management …

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2025 Consumer Duty Board Report – An Updated Guide

On 11 December 2024, the Financial Conduct Authority (FCA) issued its findings of the review …

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Dear CEO: A Letter to SIPP Operators

Portfolio letter: FCA’s expectations for SIPP Operators The FCA has issues a Dear CEO Letter …

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Supporting Customers in Vulnerable Circumstances

Ensuring that customers receive adequate protection, especially those in vulnerable circumstances, is a key priority …

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London FCA News

Pure Protection Market Study MS24/1.1 – Preparing for Regulatory Action

  Background & Regulatory Focus Pure Protection (PP) products have been out of the regulatory …

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General Insurance and Pure Protection Product Governance Thematic Review TR24/2 – Findings Summary

Background The FCA has previously explored practices in relation to value in the distribution chain …

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