Consumer Duty

Consumer Duty - A higher standard of culture for regulated firms

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Call Listening - The PPL Approach

This month, we want to put the spotlight onto call listening, one of the key compliance oversight activities PPL carries out on a regular basis

Consumer Duty

Consumer Duty - A higher standard of culture for regulated firms

Are you registered and ready for RegData?

he FCA reports that 50% of firms have successfully moved to its new data collection platform, RegData, and have begun using the new system for their regulatory reporting.

Senior Managers and Certification Regime (SM&CR) deadlines.

Important information in relation to your business.

Guidance for firms on vulnerable customers.

The FCA has published its finalised guidance regarding the treatment of vulnerable customers, particularly in the light of COVID-19. Its focus is on driving improvements and a practical shift in firms’ behaviour towards vulnerable customers, and to ensure that they get consistently fair treatment across the sectors it regulates.

FCA’s approach to international firms requiring authorisation in the UK.

In February, the FCA set out how it assesses international firms who are providing or wanting to provide financial services that require authorisation in the UK.