Foreseeable harm: The key to Consumer Duty compliance
Chris Davies looks at the Consumer Duty cross-cutting rule on foreseeable harm ahead of the next implementation deadline of 30 April...
Source: professionaladviser.com
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Weekend Essay: Easing the burden of regulation and compliance
When I started out as a fresh-faced young journalist covering the fascinating world of utilities, I fully expected my job to be 99% writing.
Source: moneymarketing.co.uk
Advisers spend just 35% of time on client meetings, report finds
Advice firms are only spending 35% of their time on client meetings, research by regulation technology platform Model Office has revealed.
Source: moneymarketing.co.uk
Consumer Duty biggest challenge for 2023, say retail investment firms
Consumer Duty and lack of budget and resources have come out on top of retail investment advice (RIA) firms’ list of concerns for the next 12 months, alongside the volume and implementation of regulatory change, according to a Model Office report.
Source: professionaladviser.com
Consumer Duty: Ensuring firms comply and continue to compete
Chris Davies urges advice firms to undertake a Consumer Duty sense check ahead of the looming 31 October deadline
Source: professionaladviser.com