Compliance

A handy Consumer Duty checklist for financial advisers

Regulation

A handy Consumer Duty checklist for financial advisers

Checklist for the measurement and evidencing of Consumer Duty

clock 20 January 2023 • 3 min read
Stonebridge updates Compliance Operating Model services for ARs

Adviser / Broking

Stonebridge updates Compliance Operating Model services for ARs

Change offers a more tailored approach for member firms

clock 07 November 2022 • 1 min read
RSA taps Peter Townsend as chief compliance officer

Insurer

RSA taps Peter Townsend as chief compliance officer

For UK and international business

clock 12 August 2022 • 1 min read
FCA 'disappointed' over product governance and fair value compliance failures

Regulation

FCA 'disappointed' over product governance and fair value compliance failures

Regulator calls out inadequate response to Policy Statement 21/5

clock 12 August 2022 • 3 min read
FCA mulling six-month Consumer Duty extension for advisers

Regulation

FCA mulling six-month Consumer Duty extension for advisers

Beyond April 2023 implementation

clock 07 July 2022 • 2 min read
IPTF: Compliance principles for income protection

Income Protection

IPTF: Compliance principles for income protection

Making compliance sexy

clock 23 February 2022 • 6 min read
Cirencester Friendly adds Alak Sharma to senior management

Insurer

Cirencester Friendly adds Alak Sharma to senior management

Follows appointment of Andy Peters

clock 10 December 2021 • 1 min read

Critical Illness

Alan Lakey: When should child cover be included?

'Added flexibility and wider coverage raises compliance concerns'

clock 26 September 2019 • 3 min read

Insurer

National Friendly appoints new head of risk & compliance

Lisa de-Laune brings over 20 years' industry experience, having led risk, internal control, internal audit and change functions

clock 20 May 2019 • 1 min read

Income Protection

Bankhall and PMS Mortgage Club launch mortgage and protection compliance support

Bankhall, the professional support services provider, has launched Mortgage & Protection Assist, a new compliance support service developed in partnership with the PMS Mortgage Club.

clock 08 September 2016 • 1 min read