3/6/2025 1:46:44 PM I predict a RIAAT on retirement income advice – 2025 supervisory and enforcement risks for investment advisers By Oli Palmer This is the second blog in a four-part series covering key supervisory and enforcement risks for investment advisers in 2025. The FCA...
2/25/2025 5:18:40 PM 2025 supervisory and enforcement risks for investment advisers: the FCA’s ongoing advice review – why it isn’t ‘job done’ just yet By Oli Palmer This is the first blog in a four-part series covering key supervisory and enforcement risks for investment advisers in 2025. A year on...
12/13/2024 9:57:02 AM Five FCA findings on ‘what good looks like’ for Consumer Duty Board reports By Oli Palmer The FCA has published the findings of its review into firms’ approaches to the preparation of the first annual Consumer Duty Board...
11/20/2024 1:03:31 PM Re-dressing redress: the FCA and FOS joint Call for Input By Oli Palmer The Financial Conduct Authority (FCA) and Financial Ombudsman Service (FOS) have published a joint Call for Input (CFI) on reforming the...
6/10/2024 10:29:16 AM Key considerations when preparing your Consumer Duty Board report By Duncan Campbell Oli Palmer Listen to our conversation with The Investment Association’s Consumer Duty Lead Mandeep Bhandal on key considerations when preparing your...