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Ruleguard’s regulatory insights & resources

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Blogs

disclosures | 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.

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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MiFID II Quick Fixes

MiFID II Quick Fixes

FCA,  disclosures,  conflicts,  transparency,  RTS28,  inducements,  communications,  RTS27,  ESMA,  research,  MIFID II,  best execution

The FCA’s policy ( PS21/20 ) outlined its changes to COBS research rules as well as the removal of the best execution reporting in RTS 27 and RTS 28. These changes are part of a wider review of the Capital Markets by the FCA and HM Treasury. The Government wishes to...

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