What were we asked? UKGI was approached by a general insurance intermediary looking for compliance support around the appointment of a new Senior Manager following the retirement of the incumbent role holder. The focus was on ensuring the firm was continuing to act...
Against the backdrop of issuing nine separate enforcement notices in relation to the monitoring of employees by using their biometric data, the Information Commissioner’s Office (ICO) has published a significant new section on its website outlining detailed new...
In Autumn 2023 the FCA conducted a survey of 634 firms that had not been surveyed previously. The FCA was particularly interested in how smaller firms (1-49 employees) had implemented the Duty and whether firms had made changes to their consumer contracts and...
Sheldon Mills, FCA Executive Director, Consumers and Competition, has given a speech looking ahead to the deadline for ‘closed products’. Mills addresses some of the challenges firms are facing and sets out that the FCA expects firms to have a clear roadmap to comply...
Banks and the wholesale insurance sector should prepare to receive a survey from the FCA requesting data on non-financial misconduct as the regulator begins its investigation into how incidents are detected and handled in the financial services sector. The regulator...
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