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How to minimise compliance risk in a remote workforce
10-Jul-2020 20:31:24 By Alexander deLong

How to minimise compliance risk in a remote workforce

Over recent weeks and months, Compliance teams, like many other office-based roles, have adapted to a new world of work. The ‘stay at home’ guidance has seen Compliance professionals and their colleagues having to adapt overnight to remote operations.

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Firms must do more to ensure advice is appropriate
26-Jun-2020 19:45:22 By Alexander deLong

Firms must do more to ensure advice is appropriate

That’s the conclusion of a recent FCA review on practices surrounding equity release.

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Is now a watershed moment for regtech?
26-Jun-2020 19:35:27 By Alexander deLong

Is now a watershed moment for regtech?

A new paper published by the Financial Conduct Authority’s ‘Insight’ arm suggests it might be.

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FCA clamps down on firms promoting high-risk investments
19-Jun-2020 19:07:05 By Alexander deLong

FCA clamps down on firms promoting high-risk investments

Earlier this month, the Financial Conduct Authority showed its teeth, banning a group of firms that had been offering high risk contracts for difference (CFDs) to UK investors.

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FCA makes its expectations clear for the remainder of 2020
13-Jun-2020 04:25:33 By Alexander deLong

FCA makes its expectations clear for the remainder of 2020

The Financial Conduct Authority has summarised its thoughts in relation to Covid-19, and set out its expectations for 2020, in a speech given at a virtual conference earlier this month.

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Why are complaints to the Financial Ombudsman down this year?
05-Jun-2020 22:40:11 By Dimitriya Paunova

Why are complaints to the Financial Ombudsman down this year?

On 3 June, the Financial Ombudsman Service published its annual summary of complaints data. The data, available on the Ombudsman’s website, outlines the nature and number of complaints the Ombudsman receives about financial services firms.

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How is the FCA strengthening compliance for payments firms?
29-May-2020 19:52:49 By Dimitriya Paunova

How is the FCA strengthening compliance for payments firms?

On 22 May, the Financial Conduct Authority took action to strengthen protections for customers using payments firms, launching a consultation on additional guidance for these firms.

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Could it be a mistake to measure your corporate culture?
26-May-2020 12:00:00 By Alexander deLong

Could it be a mistake to measure your corporate culture?

A new paper published by the Financial Conduct Authority suggests measuring your culture might not be the silver bullet many firms hope for.

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The FCA’s latest Covid-19 updates for regulated firms (22 May)
22-May-2020 19:28:20 By Alexander deLong

The FCA’s latest Covid-19 updates for regulated firms (22 May)

Since the start of the coronavirus pandemic, the Financial Conduct Authority has been issuing regular updates on changes to rules and requirements.

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How to achieve the FCA’s 6 consumer outcomes
21-May-2020 20:28:59 By Dimitriya Paunova

How to achieve the FCA’s 6 consumer outcomes

Recently, the Financial Conduct Authority sent a Dear CEO letter to banks reminding them about their obligations to treat corporate customers fairly.

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What should banks do to treat corporate customers fairly?
30-Apr-2020 12:33:18 By Steve Coleman

What should banks do to treat corporate customers fairly?

This week, the Financial Conduct Authority issued a Dear CEO letter to financial firms. The letter reminds banks of their obligations when it comes to providing finance to businesses.

Here we look again at what has prompted the FCA action, what the Treating Customers Fairly rules comprise, and what ..

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A round-up of the FCA’s latest Covid-19 updates for regulated firms
24-Apr-2020 17:20:12 By Dimitriya Paunova

A round-up of the FCA’s latest Covid-19 updates for regulated firms

A couple of weeks ago, we shared a summary of the Financial Conduct Authority’s updates on Covid-19.

With the Authority issuing regular statements for firms and their customers, we thought now would be a good time to summarise the latest updates.

The FCA has put out a number of updates over recent ..

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New FCA data shows big increase in complaints
24-Apr-2020 12:01:45 By Steve Coleman

New FCA data shows big increase in complaints

On 16 April, the Financial Conduct Authority published the complaints figures for regulated firms for the second half of 2019.

The data showed that complaints increased from 4.29m in the first half of 2019 to 6.02m in the second half of the year.

PPI still making up the bulk of complaints

The jump ..

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FCA/PRA update on Covid-19 and SMCR for dual-regulated firms
17-Apr-2020 15:44:05 By Steve Coleman

FCA/PRA update on Covid-19 and SMCR for dual-regulated firms

The Financial Conduct Authority and Prudential Regulation Authority released a joint statement on 3 April on their expectations of dual-regulated firms during the Covid-19 pandemic.

In the statement, which can be read in full on the FCA website, the regulators state their intention to ‘provide flex..

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FCA sets out priorities in new business plan
17-Apr-2020 12:39:11 By Steve Coleman

FCA sets out priorities in new business plan

On 7 April, the Financial Conduct Authority set out its plans for the coming year in its 2020/21 Business Plan.

In this blog, we examine what the plan tells us about the regulator’s priorities for the next twelve months.

Business planning in a Covid-19 world

Unsurprisingly, the pressures facing the ..

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