News

CFD Products Under Spotlight from FCA with New Review

CFD Products Under Spotlight from FCA with New Review

22nd January 2018

FCA have issued a CEO letter to 34 CFD providers and brokers to ask them to improve their sales processes and oversight.

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What Does the FCA’s Financial Lives Survey Say About Young People’s Finances?

What Does the FCA’s Financial Lives Survey Say About Young People’s Finances?

15th January 2018

We review what the FCA’s Financial Lives Survey revealed about young people’s finances and their views about their understanding of financial products.

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Our Future Approach to Consumers: The FCA Explains in Latest Consultation

Our Future Approach to Consumers: The FCA Explains in Latest Consultation

8th January 2018

This week we explore the FCA’s Future Approach to Consumers, what it is and what the paper covers.

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The Difference between Quality Control, Quality Assurance, Buddying and Team Leading

The Difference between Quality Control, Quality Assurance, Buddying and Team Leading

2nd January 2018

It is important to clearly segment roles within a quality control environment to ensure it is executed proficiently during PBR projects. Understand how we would typically do this in this week’s article.

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New currencies, transformative technologies and my trip to Dublin without cash

New currencies, transformative technologies and my trip to Dublin without cash

6th December 2017

David is back with his latest blog about trying to keep up with Bitcoin changes and his cashless trip to Dublin.

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FCA’s Financial Lives Survey Finds Need for More Financial Education

FCA’s Financial Lives Survey Finds Need for More Financial Education

30th November 2017

The FCA’s Financial Lives Survey reveals the financial situations of 13,000 consumers over the age of 18 in order to understand their personal experiences of financial services and products. Here are the main themes from the results.

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Debt Management Sector Under Review by the FCA Again

Debt Management Sector Under Review by the FCA Again

22nd November 2017

The FCA plans to complete another review of the debt management sector by the end of Q1 2019. Understand how firms need to improve to meet regulatory requirements in this blog.

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The FCA Assures Firms About Asset Management Regulation

The FCA Assures Firms About Asset Management Regulation

13th November 2017

Megan Butler, Executive Director of Supervision at the FCA gave a speech to explain how the FCA will work with the Asset Management Industry.

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FCA Complaints Data Shows 1.5% of Firms Receive 97% of All Complaints

FCA Complaints Data Shows 1.5% of Firms Receive 97% of All Complaints

1st November 2017

The FCA has recently published its biannual complaints data for the first half of 2017. In this article we dissect where these have come from & how firms have dealt with them.

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FCA’s Ageing Population Project asks for More Inclusion in Financial Services

FCA’s Ageing Population Project asks for More Inclusion in Financial Services

17th October 2017

The FCA’s Occasional Paper identified that older consumers are at risk of being excluded from some services, we explore how firms can better serve these consumers.

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Avoiding FCA Reprimand is a Big Job for Senior Management but Not Impossible

Avoiding FCA Reprimand is a Big Job for Senior Management but Not Impossible

3rd October 2017

One of the biggest legal cases in FS recently, was the FCA’s decision to ban Standard Financial Group Ltd’s CEO from the field and fine him a whopping £86,691, find out what went wrong.

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FCA Reports a 190% Decrease in Fines Since 2014

FCA Reports a 190% Decrease in Fines Since 2014

28th September 2017

The FCA have reported a growing downwards trend in the amount of fines being imposed between 2014 and 2017. Could this change soon?

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