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A handy Consumer Duty checklist for financial advisers

James Edmonds shares his Consumer Duty checklist and says a wide-ranging and well-governed plan to tackle the issues will stand businesses in good stead

A handy Consumer Duty checklist for advisers

James Edmonds shares his Consumer Duty checklist and says a wide-ranging and well-governed plan to tackle the issues will stand businesses in good stead

TCC: Three key stages to Consumer Duty readiness

Any measures you can enforce to get in front of problems before they arise lessens both your compliance risk and the chance of negative outcomes for consumers – meaning all parties benefit from a forward-thinking approach to the FCA's Consumer Duty.

TCC: Consumer Duty misconceptions, what you need to know

Firms should be busy preparing for the Consumer Duty, one of the most significant changes in regulation over the last decade. Businesses may be hoping for some clear-cut clarity on expectations in July 2022’s publication, but the FCA is looking to provide flexibility through an outcomes-based approach.

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