Compliance

Smartr365 rolls out enhanced protection offering for brokers

Adviser / Broking

Smartr365 rolls out enhanced protection offering for brokers

To support Consumer Duty outcomes

clock 01 November 2023 • 1 min read
FCA warns ARs should not be seen as easy route into regulation

Regulation

FCA warns ARs should not be seen as easy route into regulation

Principals have ended relationships with over 1300 ARs

clock 29 September 2023 • 2 min read
The Right DA Club taps Steven Howard as head of regulatory support

Regulation

The Right DA Club taps Steven Howard as head of regulatory support

Joins from SimplyBiz

clock 10 July 2023 • 1 min read
A handy Consumer Duty checklist for financial advisers

Regulation

A handy Consumer Duty checklist for financial advisers

Checklist for the measurement and evidencing of Consumer Duty

clock 20 January 2023 • 3 min read
Stonebridge updates Compliance Operating Model services for ARs

Adviser / Broking

Stonebridge updates Compliance Operating Model services for ARs

Change offers a more tailored approach for member firms

clock 07 November 2022 • 1 min read
RSA taps Peter Townsend as chief compliance officer

Insurer

RSA taps Peter Townsend as chief compliance officer

For UK and international business

clock 12 August 2022 • 1 min read
FCA 'disappointed' over product governance and fair value compliance failures

Regulation

FCA 'disappointed' over product governance and fair value compliance failures

Regulator calls out inadequate response to Policy Statement 21/5

clock 12 August 2022 • 3 min read
FCA mulling six-month Consumer Duty extension for advisers

Regulation

FCA mulling six-month Consumer Duty extension for advisers

Beyond April 2023 implementation

clock 07 July 2022 • 2 min read
IPTF: Compliance principles for income protection

Income Protection

IPTF: Compliance principles for income protection

Making compliance sexy

clock 23 February 2022 • 6 min read
Cirencester Friendly adds Alak Sharma to senior management

Insurer

Cirencester Friendly adds Alak Sharma to senior management

Follows appointment of Andy Peters

clock 10 December 2021 • 1 min read
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