6/2/2025 10:59:51 AM Consumer Duty Board Reporting: Guidance Document and Linklaters Advice Services By Sara Cody Oli Palmer Jankee Gohil The FCA requires firms to prepare a report for their Board on Consumer Duty compliance at least annually. Firms are in the process of...
5/23/2025 12:57:49 PM What’s in STOR? ACER reports on its market surveillance findings By Oli Palmer Declan Mcloughlin The Agency for the Cooperation of Energy Regulators has published, for the first time, two reports on energy market surveillance as...
5/15/2025 10:57:16 AM Treatment of customers under the Consumer Duty – lessons for investment advisers from other contexts: 2025 supervisory and enforcement risks for investment advisers By Oli Palmer This is the final blog in a four-part series covering key supervisory and enforcement risks for investment advisers in 2025. The...
5/14/2025 10:44:21 AM Advice firm consolidation – five things to think about: 2025 supervisory and enforcement risks for investment advisers By Oli Palmer This is the third blog in a four-part series covering key supervisory and enforcement risks for investment advisers in 2025. The FCA has...
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...