Compliance and regulatory matters
Expert insight to help you stay up-to-date with changing regulation
Consumer Duty support zone
Here you can access dedicated support materials and resources as you work towards implementing the Duty within your firm.
Using technology to manage regulatory change
What impact regulatory change has on advice firms and how technology can help run more compliant, and ultimately more efficient, businesses?
The FCA’s ESG priorities
A brief summary of the regulator’s environmental, social and governance strategy and the ESG-related work it is engaged in.
Pension transfer advice: the final rules at a glance
A four-page summary of the FCA’s Policy Statement PS 20/6.
New legislation was introduced on 1 February 2021 requiring pension providers to offer Investment Pathways to certain individuals entering or topping up drawdown arrangements.
PROD rules for advisers
A summary of the FCA's rules related to PROD 3: MIFID and PROD 4: Insurance Distribution Directive.
Ensuring the fair treatment of vulnerable customers
A high-level summary of the FCA’s Finalised Guidance FG21/1.
A closer look at fund transaction costs.
The Senior Managers and Certification Regime
A summary of the FCA’s guide for solo-regulated advice firms.