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Risk Management Industry News for FCA Regulated Businesses

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FCA, Company Culture

Incentives for financial advice – time to review what’s on offer?

This year has seen a number of leading financial services providers pushed into the spotlight for their employee incentive schemes, which in some cases have led to large FCA fines. But reward is not a straightforward issue – bonuses have always been...

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FCA, Regulation, Financial Services

Can regulatory action curb Christmas spending debts?

Christmas is coming and retailers are pulling out all the stops to make sure customers spend, spend, spend. But for those already struggling with money problems, the extra debt they rack up will mean misery way beyond New Year.

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FCA, Payday Lenders

Does the demise of QuickQuid signal the end of Payday Loans?

Last Friday saw the collapse of the UK’s largest payday lender QuikQuid, following a raft of customer complaints and compensation claims. The company announced it was quitting the UK market “due to regulatory uncertainty” with the business owners...

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FCA, SM&CR

Final call for Senior Managers ahead of SMCR deadline

Time is running out to prepare for the Senior Managers and Certification Regime (SMCR), which will be rolled out across the financial services sector from 9 December, raising standards and introducing new levels of accountability.

It will see a...

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FCA, Insurance, Company Culture

Company culture takes centre stage for FCA

The FCA is continuing to keep a close eye on the insurance market as it seeks to eliminate bad behaviour and practices, with organisations operating within the sector, beginning to take a more robust approach to dealing with issues relating to company...

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FCA, Financial Services, Financial Crime

FCA warnings of company cloning signals an epidemic

What do Smith & Williamson, Fidelity and Rothschild have in common? Apart from all being well known within financial services as investment providers, the answer is all three were recently cloned.

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