Compliance & Regulation

Principal firms must investigate the history of their appointed representatives (AR) including other principal firms they worked for and why their previous relationship came to an end. The requirements are being introduced...

The Financial Conduct Authority (FCA) is halving the notice period firms will need to give it ahead of engaging an appointed representative (AR) along with making several other changes to its incoming...

The Financial Conduct Authority (FCA) has rejected calls from firms for a 12-month implementation period for its new regime for appointed representatives (AR). The regulator revealed firms have until 8 December to...

The Competition and Markets Authority (CMA) has rebuked the private healthcare sector for its slow compliance with requirements to publish transparency data about fees and outcomes to help inform patients. It also...

The private healthcare sector has been told to up its game on data quality as it is a "long way" off full compliance with the Competition and Markets Authority (CMA) private healthcare...

Private medical insurers (PMIs) are demanding healthcare providers including hospital groups and clinicians speed up compliance with requirements to publish data about patient outcomes and practitioner fees. The call came in the...

The Private Healthcare Information Network (PHIN) plans to implement a new approach to publishing consultant fee arrangements via its portal next year which will help the private medical insurance (PMI) sector. However...

The underwriters of the future must become skilled statisticians and get to grips with emerging technologies if they are to meet the needs of both businesses and consumers. This is according to...

All distributors are required to ensure their charges for distributing products or services represent fair value, according to guidance from the Financial Conduct Authority (FCA) on its incoming Consumer Duty. The guidance...

A former mortgage broker has been jailed and disqualified from being a director for a second time after committing mortgage and loan fraud. Cindy Brad from Melton Mowbray illegally obtained £200,000 from...