E-Learning Login
Compliance Portal
Diversity and Inclusion in the Financial Sector – what is the FCA expecting of ‘small firms’?
A lack of diversity in financial services was highlighted as a factor in the 2008 financial crisis. Looking at risk management outcomes, studies that compared the outcomes between diverse and non-diverse Boards following the crisis found that businesses with…
FCA publishes a new ‘Preparing your firm’s wind-down plan’ web page
The FCA has published a new page on its website providing guidance about preparing your firm’s wind-down plan. Wind-down plans help firms exit the market in an orderly manner if their business is no longer viable. The web page makes reference to the Wind…
Information Commissioner’s Office publishes detailed new guidance on the use of people’s biometric data
Against the backdrop of issuing nine separate enforcement notices in relation to the monitoring of employees by using their biometric data, the Information Commissioner’s Office (ICO) has published a significant new section on its website outlining detailed…
Consumer Duty – a Panel and Q&A session with the FCA
Although the FCA has now published Sheldon Mills’ recent speech, delivered at a KPMG Consumer Duty event, there was also a panel session with Mills and KPMG, as well as a Q&A session. Much of the speech focussed on the forthcoming 31st July Consumer Duty…
FCA publishes Consumer Duty firm survey findings
In Autumn 2023 the FCA conducted a survey of 634 firms that had not been surveyed previously. The FCA was particularly interested in how smaller firms (1-49 employees) had implemented the Duty and whether firms had made changes to their consumer contracts and…
The FCA publishes a speech on Consumer Duty and findings in relation to good and bad practice
Sheldon Mills, FCA Executive Director, Consumers and Competition, has given a speech looking ahead to the deadline for ‘closed products’. Mills addresses some of the challenges firms are facing and sets out that the FCA expects firms to have a clear roadmap to…
