This week, the Financial Ombudsman published its Annual Review. The Review, available on the Ombudsman’s website, outlines the nature and number of complaints the Ombudsman receives relating to financial services.

Last week, New Model Adviser reported that the Financial Conduct Authority had visited five SIPP firms. The firms in question were identified as being at a higher risk of not being able to respond to potential compensation claims.

This seems like a good opportunity to have another look at our advice..

2019 looks to be a year filled with new regulations, changes and challenges.

Nothing unusual there, then.

But with the UK’s departure from the EU, and a raft of upcoming legislative changes, the next 12 months look like being busier than most.

It’s a time of change. The UK financial services sector faces perhaps unprecedented uncertainty, with the shape of Brexit as yet undefined.

Nevertheless, the FCA has set out its annual Sector Views, analysing the industry. The publication is the regulator’s ‘annual analysis of the changing financia..

That’s the theme of a blog by risk experts Aon, which we thought was worth sharing here.

It looks at the threats posed by these risks and – conversely – the opportunities they can also present for firms.

In a speech this week, the Financial Conduct Authority gave an update on the consumer credit sector.

Jonathan Davidson, Director of Supervision – retail and authorisations, looked at how things have changed since the FCA took over regulation of the sector in 2014.

The Insurance Distribution Directive (IDD) comes into force for UK firms on 23 February 2018. Here we look at what it entails – in particular regarding the requirement for the new Insurance Product Information Document (IPID).

This week, the Financial Conduct Authority published its 2017/18 Business Plan

For the first time, the regulator launched its Business Plan in tandem with its Sector Views, which highlight issues and developments in the sectors it regulates, and its Mission, identifying its future path.

The Financial Conduct Authority this week released the findings of its Assessing Suitability Review.

The review looked into the suitability of the advice offered by the pensions and investment market, and the quality of disclosure in the sector.

Last week, the Financial Conduct Authority released its new Mission.

Published alongside its annual Business Plan, the Mission is a high-level document that sets out the Authority’s priorities, decision-making process and the reasons behind the decisions it makes.

This week, new rules came into force governing the information current account providers need to publish.    

The changes, announced on the FCA website, follow action from the financial regulator and the Competition and Markets Authority (CMA). They have been implemented as a result of the CMA’s in-..

This week, the FCA published the findings of its Call for Input on the PRIIPs regulation. What do the findings say, and do they have any concrete actions for Compliance teams?

Automation has many recognised benefits for Compliance teams.

If your firm is told to expect a visit from the Financial Conduct Authority, your first reaction is probably one of slight panic.