Consumer Duty, Vulnerability, The Playground Bully
Consumer Duty We’ve banged on about this at length [...]
Guidance for the perplexed – FCA’s Guidance on PS 22-9
Guidance for the perplexed In our September Newsletter we gave [...]
A demotion of promotion. Consumer Duty – PS 22-9
Welcome back! Hoping you enjoyed your summer break and are [...]
A remote possibility? Its not a wind up, Demotion of promotion
A remote possibility..?Now that the long march back to the [...]
Get Back (Part II), Faster Decisions, Worse Decisions
Get back (Part II) In our March Newsletter we advised [...]
Investment Firms Prudential Regime, Diversity, Dear CEO
With just about three months left before the implementation date of the new IFPR, MiFID firms will be [...]
Get back, Underperforming, Overreaching
Get back As we inch along the road map to [...]
Winter is coming… but not just yet, Finish what you started
Winter is coming... but not just yet We wrote in [...]
Capital, capital, Just when you thought it was safe
On 23 June, FCA published a Discussion Paper setting out its proposals for implementing a new prudential [...]
Covid-19 & Culture – Compliance Update
It seems like ages since our last Newsletter - in [...]