Jonathan Barrett, CEO of Comentis, shares some of his key takeaways from the FCA’s recent Vulnerability Review and highlights two fundamental elements that he believes are still...

Rob Mason, director of regulatory intelligence at communications compliance and surveillance firm, Global Relay, explores the FCA’s recent prioritisation of non-financial...

Principals must ensure ARs comply with rules, but ARs have a part to play too, the FCA says.

The regulator has outlined the next steps of its Consumer Duty rule review, including new guidance for smaller firms.

The study will examine whether the structure of commission encourages advisers to suggest switching that may not be beneficial for consumers.

The group says Freedom of Information requests, Treasury-mandated external reviews and legal challenges would all be adversely impacted.

Eric Armstrong, recruitment and development executive at In Partnership, outlines three areas with some practical tips to help advisers comply and deliver ‘good outcomes’...

The authorisation will soon allow Offa to become the third active provider of HPPs in the market.

Major regulators will also have their legal duties slimmed down.

The FCA says Odey "deliberately sought to frustrate OAM’s disciplinary processes into his conduct to protect his own interests".