This week, we discuss the FCA’s latest review on consolidation risks in wealth management, the first data protection prosecution under the DPA 2018, and new oversight for ESG ratings providers. Join Vicky and Rachel as they unpack key compliance themes and practical lessons for financial firms.

In this episode, Vicky Pearce and Rachel MacRae break down crucial findings from the newest FCA reviews. We spotlight gaps in client categorisation and AML frameworks, tackle changes in supervision for professional services, and discuss recent enforcement actions. Clear examples and practical tips bring regulatory challenges to life.

This episode unpacks the FCA's latest efforts to simplify capital rules, explores the path to fund tokenisation, and examines major takeaways from recent high-profile regulatory actions on data breaches and conflict of interest. We draw on real-world examples and guidance to help firms stay compliant in a rapidly evolving regulatory environment.

This episode puts the spotlight on the FCA’s transfer of MiFID rules, industry-wide claims management reforms, and the UK's upcoming move to T+1 settlement. Vicky and Rachel discuss what each change means for compliance, and how financial advisers can prepare for new operational and client-service realities.

This episode unpacks the FCA’s latest initiatives on Consumer Duty for wholesale firms, explores a real-world cyber crime approach targeting the BBC, and highlights the most relevant updates from FCA Handbook Notice 133. Stay sharp with actionable insights for compliance professionals.

This episode covers the FCA’s latest consultation on targeted support, updates on cancellation rights related to pensions, and a recent data protection breach case linked to financial fraud. Vicky and Rachel break down complex regulatory shifts and offer practical advice and real-world context for compliance professionals.

This episode dives into the FCA’s latest protection market study, unpacks ongoing issues around LISA penalties, and highlights lessons from legacy pension complaints. Vicky Pearce and Rachel MacRae break down what advisers need to know now to stay compliant and protect their clients’ interests.

This episode breaks down the FCA's new Handbook website, essential tips for smooth authorisation applications, and details from the latest quarterly consultation on reporting requirements. Vicky Pearce and Rachel MacRae guide listeners through practical updates, drawing on real-world experience in compliance.

This episode explores real-life financial failures affecting high-net-worth individuals, examines evolving scam threats, and offers guidance on regulatory preparedness ahead of the Autumn Budget. Vicky and Rachel use industry case studies and the latest compliance updates to help ensure your firm and clients stay protected.

In this episode, we break down the threat of FCA lookalike scams, key updates to regulatory reporting requirements, and latest FCA findings on pension transfer servicing standards. Tune in for actionable tips and real-world examples that can help protect your firm and improve customer outcomes.