In the realm of financial services, the level of reporting required by the Financial Conduct Authority (FCA) for small firms has become disproportionate compared to other industries. Despite the pandemic being behind us, COVID-related reports continue unabated, adding to the regulatory burden. Complaints made to MPs and the Treasury are simply passed on to the … Continue reading Unjust Governance: The FCA’s Burden on Small Financial Firms
Tag: regulation
Understanding Your Duty: CMA Regulations on Safeguarding Vulnerable Clients in Financial Planning
It's not only FCA-regulated financial planners who need to change ways of working: a guide for CMA-regulated financial planners. As financial planners operating under the oversight of the Competition and Markets Authority (CMA), it is crucial to stay informed about the regulatory requirements designed to protect vulnerable customers. Many financial planners might overlook these obligations, … Continue reading Understanding Your Duty: CMA Regulations on Safeguarding Vulnerable Clients in Financial Planning
