Advisers need to back up their client care claims with action. That’s the theme of an article in New Model Adviser this week. The piece focuses on the importance of putting your customers at the heart of your business.... By Dimitriya Paunova
This week was London Blockchain Week 2017. With blockchain a crucial foundation of many of the technology innovations in financial services, we look at the latest developments in this fast-moving area.... By Dimitriya Paunova
A speech by the Financial Conduct Authority’s Director of Enforcement and Market Oversight Mark Steward this week focused on financial penalties, the requirements of the new Senior Managers and Certification Regime, and new ways of solving disputes.... By Steve Coleman
You’re probably aware that the Financial Conduct Authority has the power to ban promotions and adverts.
But the start of a new year seems a good time to revisit the regulator’s rules on this – and remind ourselves what’s allowed, what’s not and what will get your marketing activity pulled.... By Dimitriya Paunova
In October last year, the Financial Conduct Authority launched its ‘Our Future Mission’ to outline its proposed approach to regulation in future.... By Dimitriya Paunova
It’s been another year of change for Compliance teams.
Regulatory change in the UK showed no sign of slowing. And that’s before you throw curveballs like Brexit into the mix. With a new man at the helm, the Financial Conduct Authority has had a busy 12 months.... By Dimitriya Paunova
In June 2015, the Financial Conduct Authority announced its Smarter Consumer Communications initiative, designed to improve the way firms interact with customers.... By Steve Coleman
A report released this week by law firm Mayer Brown showed that UK financial services firms have a strong appetite for fintech investment – but that regulatory complexity is the biggest barrier holding them back.... By Dimitriya Paunova
Last week, the Financial Conduct Authority released its Occasional Paper 23 entitled ‘Full disclosure: a round-up of FCA experimental research into giving information’.... By Dimitriya Paunova