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Compliance and regulatory matters

Expert insight to help you stay up-to-date with changing regulation


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The FCA’s Retirement income advice review

The key areas identified by the FCA for improvement in the advice process.

Download Fidelity Adviser Solutions’ summary

Download Thistle Initiatives’ overview

Retirement income advice in a changing regulatory landscape

In this 45-minute webinar, our panel of experts consider the FCA’s Thematic review of Retirement Income Advice market and what the implications are for advice firms.

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.

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.