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Continuing Consumer Duty insight series ESG – 2023 objectives and next steps 🌳👨💡 During 2022, the industry witnessed major focus and legislative reforms that set the framework, foundations, and future direction for the environmental, social, and governance (ESG) landscape. This trend is set to continue with gusto through 2023 and beyond. Continuing Consumer Duty insight series PS22/11 – Improvements to the Appointed Representatives Regime 📄 The FCA recently issued their policy statement PS22/11 setting out the enhanced Appointed Representatives (AR) regime and rules for firms to comply with. These came into effect on 8 December 2022 following a four-month implementation period with a further period of transitional arrangements to allow firms more time to comply with some of the new rules, particularly those requiring them to submit information on an on-going basis and to review their ARs and self-assess annually. Continuing Consumer Duty insight series Time to wind down? Get Planning and Governance right Following its Thematic Review the FCA identified that many firms’ WDPs and risk management frameworks remained at an early stage of maturity, We take a look at the work that can be done to bridge the gaps and meet the expectations of the regulator. Appointed Representatives: FCA signals a stronger governance requirement A closer look at the December AR deadline and supporting policy statement. Total Capture – Robotics, AI; IT Controls & Data integrity | Regulatory Insights Series #8 🔎👨🏾‍💻 The eighth insight for 2022's 'Regulatory Insights Series'. We explore some of the challenges of demonstrating total capture.
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