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Compliance Portal
The FCA reviews firms’ treatment of customers in vulnerable circumstances
On 15 March 2024 the FCA announced that it would be conducting a review into firms’ treatment of customers in vulnerable circumstances. The FCA is now writing to firms, conducting the review. In line with its 2021 commitment, it continues the work in this…
What counts as CPD?
For individuals to contribute successfully to an organisation, it is essential that they understand their role and the responsibilities it entails. Having this understanding will allow them (and you) to be able to judge whether they are competent to perform…
The rise of ‘finfluencers’ and the risks to them and people following their posts
The FCA recently published Guidance clarifying its expectations of firms and ‘finfluencers’ promoting financial services across all social media channels, including memes, reels and gaming streams. Finfluencers are influencers who offer advice and…
Sexism in the City report and implications for the FCA's Consultation on DE&I
In the autumn of 2023 the FCA produced a Consultation Paper (CP23/20) which outlined its proposals to improve diversity, equality and inclusion in the financial services sector; the PRA produced a similar consultation. In July 2023 the Treasury Committee…
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 questions banks and the wholesale insurance sector about the handling of non-financial misconduct
Banks and the wholesale insurance sector should prepare to receive a survey from the FCA requesting data on non-financial misconduct as the regulator begins its investigation into how incidents are detected and handled in the financial services sector.
