With the FCA’s review of outcomes for vulnerable clients announced, Jonathan Barrett, CEO of Comentis, explains a simple three-step process to identify vulnerable customers...
Related topic: Regulation
Three other individuals were convicted and sentenced to 23 years for their part in the fraud.
The proposals would enable the FCA to name firms it is investigating at the outset of an investigation.
Phil Lewis, head of risk and compliance at Source Insurance, explores how firms can ensure they are meeting the FCA's expectations while preparing the first Consumer Duty board...
The regulator says his misconduct "put the market and investors at risk".
The ‘closed book’ phase of the Duty comes into force at the end of July.
16 trade bodies have also written to the regulator opposing the plans.
Daniel Holden, head of Air’s Academy Learning Programme, outlines the importance of understanding best practice considerations that advisers should take when exploring later life...
The FCA has proposed identifying firms at the outset of an investigation.
The partnership comes as the FCA continues its review of how firms approach and treat customers in vulnerable circumstances.
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