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