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Time for financial advisers and investment intermediaries to review their processes as additional regulatory scrutiny looms.
The FCA wants to work with the industry to ensure consumers receive consistently good outcomes and manage their own finances.
How to demonstrate a positive influence on customer outcomes.
One year into the FCA’s Consumer Duty, Gavin Stewart wrestles with the big supervision questions.
How to comply with compliance rules on both sides of the Atlantic without being penalised.
The regulator’s review of firms’ adherence to ‘back-end’ marketing rules uncovers widespread poor practice.
Serious concerns over the activities of a wealth management firm, new rules on DCAs, and an assessment of Consumer Duty one year on feature in our latest roundup of FCA work.