Senior Managers and Certification Regime: Is your house in order?
On 9 December 2019, 47,000 Financial Conduct Authority (FCA) solo regulated firms became subject to the Senior Managers and Certification...
About Me
Cindy Chan has over 20 years of financial services consulting and audit experience. She has extensive experience in supporting firms in regulatory risk assurance reviews and conduct risk projects including SMCR, complaints handling, product development and governance, sales and suitability assurance, as well as s166 reviews and enforcement cases.
Cindy Chan's Passles
Financial Services Insights - Deloitte experts share their thought leadership and insights
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FCA clarifies its expectations on the treatment of vulnerable customers
Since the publication of its original paper on consumer vulnerability in 2015, the FCA has strengthened its approach to consumer...
FCA considers banning certain commission models following motor finance review
The FCA has recently published the final findings of its review of the motor finance sector. The review found that the way some...
The FCA takes forward investment pathways and other remedies from its Retirement Outcomes Review
The FCA recently published a package of measures to address the potential harm it found during its Retirement Outcomes Review (“ROR”)....
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