Consumer Duty Regulatory Insights
Kroll’s Regulatory Advice and Consulting specialists provide insight on the regulatory change now approaching the financial services industry and discuss the FCAs intention to place clear accountability for compliant implementation of the Consumer Duty. Browse our featured items below.
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What Role Does the 3LOD (Third Line of Defence) Play in Supporting Consumer Duty Compliance
In the latest episode of The Kroll Lens: Navigating the Regulatory Landscape, Kroll’s Consumer Duty expert Matt Austen alongside Paul Heffernan, Internal Audit Specialist in Kroll's Financial Services Compliance and Regulation practice, discuss the role of the third line of defense and how it can help both the firm and the FCA to achieve the key aims of the Consumer Duty.
Is Governance the Key to Success for the Consumer Duty?
In the first episode of The Kroll Lens: Navigating the Regulatory Landscape, Nicola Norfolk is joined by Mark Turner and Matteo Basso, managing directors in Kroll's Financial Services Compliance and Regulation practice, where they discuss the role of the governing body (e.g., the board) at regulated firms in helping the FCA achieve the key aims of the Consumer Duty.
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Regulatory Updates
Preparing for the Consumer Duty – Monitoring and Driving Customer Outcomes Using Data
Mar 24, 2023 In this article, we set out how firms are expected to take a data-led approach to assess and evidence the testing of outcomes throughout the consumer journey and product and service lifecycle.
Regulatory Updates
Consumer Duty – FCA Engages with Industry Sectors Using Webinar Series
Dec 19, 2022 To help firms prepare, the FCA announced a series of webinars, which were held in October and November 2022. The webinars were split by sector, giving the FCA one of its first opportunities (since publication of the final rules) to publicly engage with firm and industry representatives.
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Private Equity Wire US Awards 2022 |
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