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Ruleguard’s regulatory insights & resources

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Blogs

consumerduty | 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.

Complaints: Is your data telling you something?

Complaints: Is your data telling you something?

consumerduty,  culture,  complaints

The FCA’s thematic review on complaints handling took place almost 10 years ago, but its findings continue to be relevant and are echoed in the FCA’s Consumer Duty work. The regulator aims to ensure firms treat customers fairly by supporting those in difficulty and...

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Why Managing Conflicts should still be on your agenda!

Why Managing Conflicts should still be on your agenda!

wealthmanagement,  consumerduty,  compliance,  corporate governance,  risk management,  conflicts,  monitoring,  SM&CR

Conflicts of interest is a subject matter that should be relatively easy to understand and as such, straightforward when it comes to compliance. Why then do we hear of senior managers who have failed to declare a potential conflict or to recuse themselves from related...

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Are you ready for the Consumer Duty?

Are you ready for the Consumer Duty?

governance,  third parties,  accountability,  assessments,  wealthmanagement,  consumerduty,  systems and controls,  compliance,  culture,  corporate governance

Following the initial milestone of 31st October 2022, the FCA reviewed a sample of the implementation plans from some of the larger firms operating in the UK. These were firms deemed to be of higher risk as they operate in the retail market and could impact both...

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What is the new Consumer Duty?

What is the new Consumer Duty?

governance,  consumerduty,  FCA,  disclosures,  complaints,  audit trail

The FCA states that the Consumer Duty aims to “ensure a higher and more consistent standard of consumer protection for users of financial services and help to stop harm before it happens” The new Consumer Duty requirements are due to be finalised in July. It comes at a...

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