A Path Forward for Claims Management Companies
Introduction The Financial Conduct Authority (FCA) recently wrote to Claims Management Companies (CMCs) to outline its latest supervisory strategy for the coming years. The FCA reaffirmed its commitment to ensuring […]
Section 165 – Wealth Management and Stockbroking Sector Survey
Introduction In February 2025, a number of firms will have received a Section 165 request, which is a mandatory regulatory request for information on various aspects of their business. This […]
Positive Findings in the FCA’s Recent Suitability Review
Introduction The FCA recently requested data from 22 of the largest financial advice firms to review, with a focus on the suitability review process delivered by the sector. At the […]
FCA Strategy for the Mortgage Intermediary Market (Jan 2025)
Introduction With the introduction of the Consumer Duty, the Financial Conduct Authority (FCA) has recently outlined its key supervisory focus areas to mortgage intermediaries for the next two years. The […]
FCA Regulation Updates: Ensuring Compliance with Confidence
Quarterly Consultation CP24/11 The Financial Conduct Authority (“FCA”) consistently updates its regulatory framework to maintain the integrity and efficiency of financial markets. A recent example is the Collective Investment Schemes […]