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Firms will need to start preparing now for Consumer Duty – Paradigm

Consumer Duty will fundamentally change firm’s policies around vulnerable customers and ...

  • Jun 22, 2022
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FCA needs a culture change to protect consumers and market – Treasury

The Financial Conduct Authority (FCA) needs to become a more “agile” and “decisive...

  • Jun 24, 2021
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Advisers warned to ‘sit up and take notice’ of incoming SM&CR regulations – Accord podcast

Broker firms are not ready for the incoming Senior Management and Certification Regime (SC...

  • Aug 29, 2019
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Brexit offers ‘opportunity’ to review conduct rules ‒ Bailey

The Financial Conduct Authority plans to reconsider how it regulates the conduct of people...

  • Jul 17, 2019
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FCA to extend Senior Managers and Certification Regime to solo-regulated firms

The Financial Conduct Authority (FCA) will be extending the Senior Managers and Certificat...

  • Feb 08, 2019
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FCA’s conduct regime will cover vast majority of claims management company staff

The Financial Conduct Authority (FCA) plans to extend its Senior Manager and Certification...

  • Sep 21, 2018
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FSE: Senior managers could drop approved persons off FCA register

Advisers at yesterday's Financial Services Expo (FSE) in London voiced concern to regulato...

  • Sep 14, 2017
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Senior Managers regime will affect 72,000 executives

The Financial Conduct Authority (FCA) has confirmed that proposals to extend the Senior Ma...

  • Aug 24, 2017
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