2026 Regulatory Priorities
As the new year approaches, compliance officers yet again face a year ahead of regulatory change. The convergence of technological…
Category Consumer Duty
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client categorisation: beware the tick box, follow the facts
Here we re-examine the risks of opting up retail clients after Linear Investments v FOS. Clients have differing levels of…
FOS Fee Reform and FCA Redress Changes
Firms subject to the Financial Ombudsman Service need to keep up with regulatory news, especially in light of FOS fee reform…
Management Information Insights for Consumer Duty
Staying informed and proactively managing consumer duties remain a top priority for firms. However, detecting problems and anticipating risks has…
The problem with culture starts with MI
According to the FCA, culture audits, culture prints, and culture maps are precisely where the problem with culture starts. FCA…
The FCA’s Latest Consumer Duty Readiness Questions
Introduction On 28 June 2023, the FCA published a reminder article on the upcoming go-live of the Consumer Duty. It…