Mastering regulatory due diligence in acquisitions
Solution: Regulatory Change & Transformation
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FCA’s review flags gaps in support for vulnerable consumers
Discover the FCA’s key findings on vulnerable customer outcomes, the fines already issued to major firms, and ten practical steps…
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A Growth Agenda is Good for the Consolidation Market
In Money Marketing, TCC’s Technical Director David Boyhan examines the wealth management consolidation market, analyzing how enhanced data quality supports…
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Preparing for change: FCA’s review of protection product distribution and value
The FCA’s Market Study into pure protection product distribution focuses on commission arrangements, fair value and vulnerable customers. This article…
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How do the ongoing advice review findings relate to the Consumer Duty?
Discover how the FCA’s ongoing advice review findings intersect with the Consumer Duty, and understand the critical management information required…
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The benefits of enhancing data capture go beyond compliance – Money Marketing
Find out why enhanced data capture helps advice firms meet FCA expectations and keep client reviews on schedule, according to…
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Overview so far: the expected regulatory hot topics of 2025
TCC’s compliance forums identify the FCA concerns most likely to shape 2025, from financial resilience and vulnerable customers to Consumer…
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What firms should take from the FCA’s latest portfolio strategy letter
TCC’s Technical Director David Boyhan examines the FCA’s October 2024 portfolio strategy letter for financial advisers and investment intermediaries, highlighting…
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How advice firms should navigate the AI journey
A short guide for financial advice firms weighing up the growing number of AI tools on the market, explaining the…
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Regulatory due diligence: Examining firms’ priorities for 2024
David Boyhan of TCC explains why the FCA’s focus for regulatory due diligence is shifting as DB transfers become business…