Having reviewed how well Principal firms have embedded the requirements of the enhanced AR regime, the FCA has set out good practice and areas for improvement to help Principal firms effectively oversee and monitor their ARs. The FCA’s approach is in line with...
In an interestingly timed publication, soon after the FCA Value Measures data publication and following the publication of the FCA Thematic Review TR24/2 (covered in last week’s update) , the FCA’s Financial Services Consumer Panel has published a research paper about...
Following a review of general insurance (GI) and pure protection (PP) manufacturers’ and distributors’ product oversight and governance arrangements, the FCA has published a Thematic Review – TR24/2 – “Product Oversight and Governance thematic review – General...
The FCA is asking for views on whether, where and how it can refine and simplify its retail conduct rules and guidance, whilst still ensuring that it continues to support and protect consumers. The FCA particularly wants to address potential areas of complexity,...
On 15 March 2024 the FCA announced that it would be conducting a review into firms’ treatment of customers in vulnerable circumstances. The FCA is now writing to firms, conducting the review. In line with its 2021 commitment, it continues the work in this area and is...
This article outlines the importance of CPD, and how to approach it to enrich the learning and development of staff and allow individuals to contribute to the success of a firm. For individuals to contribute successfully to an organisation, it is essential that they...
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