General Regulation Archives

Background Over the past two years, the Financial Conduct Authority (FCA) has significantly increased its …

By Sara Haworth - Principal Consultant | 07/05/2025

Complaints data, it appears, is like waiting for buses. You wait a while and two …

By Mike Scott - Advisory Director | 02/04/2025

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

By Nicky Green - Advisory Director, Mike Scott - Advisory Director | 27/03/2025

The FCA published two key documents on 25th March 2025. The first is the FCA …

By Nicky Green - Advisory Director | 24/03/2025

What does the data tell us about the FCA’s Supervisory work? There seems to …

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

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

By Nicky Green - Advisory Director & Chloe Curtis - Principal Consultant | 28/01/2025

In December 2024, the FCA issued a series of Dear CEO letters, including one titled …

By Simon Goryl (Advisory Director) & Elliot Cooper (Client Relationship Partner) | 16/12/2024

Backdrop It will not surprise some that ongoing service propositions are in the regulatory spotlight …

By Nicky Green - Advisory Director, Sara Haworth - Senior Consultant & Alice Buckley - Consultant | 27/11/2024

FCA sets out key supervision priorities for lifetime mortgage providers On 24 October 2024, the …