Staying informed and proactively managing consumer duties remain a top priority for firms. However, detecting problems and anticipating risks has proven to be a significant challenge for many businesses. To address this challenge, we’re introducing a new Consumer Duty Management…
This article provides an overview of the main topics covered by the FCA’s policy statement on cryptoasset financial promotions. The overriding obligation is that any financial promotion must be fair, clear and not misleading. Alongside this policy statement, the FCA…
Introduction In this complex landscape of ESG (Environmental, Social, Governance) reporting, businesses are navigating the tricky waters of sustainability reporting. Whilst for most companies, these reports remain voluntary, however are becoming increasingly important to investors and stakeholders, who are placing…
Introduction On 28 June 2023, the FCA published a reminder article on the upcoming go-live of the Consumer Duty. It posed “10” (well, 14 actually) key questions for firms to consider. We thought it would be useful to map those…
__________________________________________________________ Dina Devalia Managing Director, Quantuma Link to Dina’s profile M: +44 (0)7557 419 361 E: dina.devalia@quantuma.com
Check out the latest edition of PIMFA – Personal Investment Management & Financial Advice Association‘s “Journal”, featuring Emily Wright, our Surveillance specialist at Leaman Crellin. Emily shares her expertise on E-Communications Surveillance, its growing importance within financial institutions, as well as the obstacles…
