Life, Pensions and Wealth Regulatory Updates

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General regulation

Regulatory update: FCA - ‘Our approach to authorisation’

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Complaints

Regulatory update: Feedback to DP15 / 7 - SMEs as users of financial services (CP18 / 3)

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Financial Crime

Regulatory update: UK anti-corruption strategy 2017-2022

Path green
Vulnerable customers

Regulatory update: The FCA's approach to protecting vulnerable customers

Growth purple
Financial Crime

Regulatory update: The national risk assessment of money laundering and terrorist financing 2017

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Vulnerable customers

Regulatory update: Occasional Paper 31 - Ageing Population and Financial Services

Integrity blue
Financial Crime

Regulatory update: Suspicious Activity Reports (SARS) Annual Report 2017

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Payments

Regulatory update: final FCA approach document on PSD2 implementation

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Financial Crime

Regulatory update: The FCA’s anti-money laundering (AML) report

Path blue
Senior Managers and Certification Regime

Regulatory update: CP17 / 25 – Individual Accountability – Extending SM&CR to all FCA-Regulated Firms

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Financial Crime

Regulatory update: Wolfsberg anti-bribery and corruption (AB&C) compliance programme guidance

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Advice and suitability

Regulatory update: MS15 / 2.3 - Asset management market study final report

Integrity blue
Advice and suitability

Regulatory update: The FCA's assessing advice suitability review – the results

Path blue
Complaints

Regulatory Update: The FCA’s 2016 H2 complaints data

Growth blue
General regulation

The FCA’s 2017 / 18 Business Plan

Connections yellow
Financial Crime

Creation of the Office for Professional Body Anti-Money Laundering Supervision (OPBAS)

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General regulation

Implementation of the FCA / PRA enforcement review and the Green Report

Path yellow
Customer Servicing

FG16 / 8 – Fair treatment of long-standing customers in the life insurance sector

Path purple
General regulation

CP16 / 40 – Enhancing conduct of business rules for contract for difference products

Path blue
Financial Crime

HM Treasury’s consultation on imposing monetary penalties for breaches of financial sanctions

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The Complaints Outlook 2022

Actionable insight for every stage of the complaints journey

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