A new era: what can we expect from the FCA’s change in leadership?

Financial Advisory

21 April 2016

Financial Advisory

Facilitated and written by: David Ingram – Aim Two Three

Headline Finding 1:

Overall regulation is doing a good job and thematic reviews are especially welcome.

Headline Finding 2:

A period without regulatory change would be welcome.

Headline Finding 3:

The senior management changes (i.e. recruitment of advisers) should not be extended to advisory firms without increased sharing of information (around record of the RI) with firms.

Headline Finding 4:

FSCS levy calculation to be made fairer.

Headline Finding 5:

FCA should respond to whistle blowing swiftly.

What’s next?

  •          Reform FOS.
  •          More guidelines re interpreting high level principles.
  •          Reform FSCS calculations.

Owen James Group

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