Improvements to the Appointed Representatives Regime – Déjà vu?
The FCAs planned changes to the Appointed Representative Regime take me back in time to a pre-Covid world when the PRA and FCA worked collectively to bring us SM&CR and […]
What should regulated firms and their teams be looking out for in 2022?
It’s always at this time of year that we seem collectively to draw a line under the 12 months that have gone before us and start to look forward. However, […]
Regulatory Round Up Of 2021
In many ways I can’t help feeling that 2021 has been a bit of a replay of 2020, but without the uncertainty and trepidation of the unknown changes the pandemic […]
Trust and Consumer Protection
We often talk about gaining or earning someone’s trust, but the interesting thing about those phrases though, is that as human beings we tend to, in most aspects of our […]
The FCA Walking their Talk
This may not have necessarily have hit your radar, but did you know that since 2016, the FCA has been looking at its own performance, and publishing its findings against its Key Performance Indicators (KPIs) […]
Innovation And Vulnerability – Can They Co-Exist?
My curiosity was piqued this week when I came across two speeches from the FCA that seemed to focus on two completely opposing forces – that of the push for […]
The FCA’s New Direction – Outcomes Focused Regulation
I think we can all agree that a crystal ball would be about the most useful tool now for trying to make post-Covid decisions for firms in the financial services. […]
When A Process Is Broke, Then It’s Definitely Time To Fix It
As I bring this series of guest blog posts for Worksmart to a close, I wanted to use this last one to focus on process. It might seem odd, when […]
Stopping Groundhog Day: The FCA’s Plans For Cultural Change
I’ve been in financial services for longer than I care to mention and to be honest when you’re the proverbial dinosaur like me, then you start to notice cyclical patterns […]
Fairness And Consistency, The Hardy Perennial Of Complaints Handling
If you were to ask me, what are the two key concepts that businesses don’t seem able to get to grips with when it comes to complaints, it would be […]