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Eligible Complainants: Professional Clients

As we know, changes to the Handbook were made in 2015 which meant that certain professional clients would be regarded as ‘consumers’ and hence able to have their complaints dealt […] [...]

Quarterly Consultation

The FCA’s Quarterly Consultation CP15/28 proposes miscellaneous amendments to the Handbook ranging from the list of appropriate qualifications under TC to restricting the scope of section C of the RMAR […] [...]

Complaints

The previous Regulatory Roundup (issue 65) drew attention to changes to the ‘complaints rules’ in DISP which had the effect of classifying certain professional clients as eligible complainants and hence affording […] [...]

Complaints and Professional Contacts

Changes are being made to the Handbook which will mean that certain professional clients will be able to have their complaints dealt with under the Financial Ombudsman Service regime and […] [...]

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Eligible Complainants: Professional Clients

Quarterly Consultation

Complaints

Complaints and Professional Contacts

INSIGHTS & EXPERTISE

NEWS & EVENTS

Webinar: Consumer Duty Board Reports – Year Two

Online Training Course: Your MLRO Training Day

Webinar: Navigating the IFPR Impact: Good and Poor Practices Observed

In-Person Training Course: Your MLRO Training Day

In-Person Training Course: Your MLRO Training Day

Fireside Chat: Operational Resilience – Have You Prepared?

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