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Given the flow of communications coming from the Financial Conduct Authority over recent weeks, the regulatory landscape is beginning to look transformative. This year’s Business Plan sets out where it will be focusing its attention and ever-growing resource. Running in parallel is the follow up to The Edinburgh
The Financial Conduct Authority's (FCA) Consumer Duty has been dubbed a watershed moment for the retail financial services industry, raising the threshold for good consumer outcomes and marking a step change in how firms should be approaching regulatory change.
To better comprehend how financial advice professionals understand the detail of personal compliance and how this plays out within the advice business, IFA
Linda Gibson of BNY Mellon Pershing looks at the opportunities and challenges presented at this stage of the compliance process
The UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) published a discussion paper on 30 March 2023 seeking opinions on the Senior Managers and...