Consumer Duty Archives

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

By Nicola Crump - Principal Consultant | 20/03/2025

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

By Natalie Baglin - Principal Consultant | 12/03/2025

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

By Simon Goryl - Advisory Director | 28/01/2025

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

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

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

By Nicky Green - Advisory Director, Sara Haworth - Senior Consultant & Alice Buckley - Consultant | 20/11/2024

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

By Darren Fisher - Advisory Director, Tracy Auchterlonie - Principal Consultant | 24/10/2024

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

By Alice Buckley - Consultant | 11/10/2024

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

By Alice Buckley - Consultant | 11/10/2024

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