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Consumer Duty | Peruse our blogs for the latest, fresh perspective on navigating the maze of global regulations and upcoming milestones. This is your shortcut to staying ahead, packed with insights and expert tips from the forefront of GRC innovation.

FCA Draws a Line in the Sand on SIPPS

governance, operational resilience, client assets, Consumer Duty, Compliance Monitoring, SIPPs

Time to read: 4 minutes TL:DR The FCA’s CP26/20 consultation signals a more prescriptive regime for SIPP operators, with clearer expectations for enhanced due diligence, pension scheme money and asset protection, record keeping, reconciliation and governance. Firms...

Why Data Accuracy & Consumer Outcomes Now Define Compliance

culture, FCA, operational resilience, Consumer Duty, data, financial crime

Time to read: 4 minutes TL:DR - The FCA’s 2026–27 priorities illustrate regulatory focus upon outcomes, data‑driven supervision, Consumer Duty, culture & conduct, financial crime, AI governance, operational resilience, and data quality. Firms now face higher...

“Regulatory Greens”: FCA’s Balanced diet

governance, accountability, SM&CR, Consumer Duty, GRC, financial crime

"Good strategy, like good nutrition, is all about balance. The right elements, working together, to support long-term health." (Emily Shepperd, FCA's COO, June 2024)

Complaints in a Changing World

FCA, FOS, Consumer Duty

Consumers today expect much more from financial services firms than just a basic transactional efficiency.

Trust & Security: How Payment Services Firms can Better Protect Client Funds

client assets, client money, Consumer Duty, Compliance Monitoring

Time to read: 2-3 minutes Despite recent announcements that the Payment Services Regulator (PSR) will be disbanded, regulation is not going away. The FCA is taking on increased responsibilities and ensuring that there are consistent messages to firms on how to...

How good is your Product Governance Framework?

due diligence, MIFID II, Consumer Duty, Product Governance, data

Scrutinise your Product Governance Framework “Product oversight and governance refers to the systems and controls firms have in place to design, approve, market and manage products throughout the products' lifecycle to ensure they meet legal and regulatory...

Consumer Duty: Data to demonstrate compliance

compliance, Consumer Duty, data

Consumer Duty: Data to demonstrate compliance It’s now just over a year since Consumer Duty came into force for open products and 31st July 2024 saw the regime extended further to closed products. FCA took this opportunity to share feedback, and highlight areas where...