

Compliance Matters: Week ending 4th April 2026
Here us this week’s food for thought. Short this week, but with all the detail in the hotlinks.


Compliance Matters: Week ending 27th March 2026
Here is a summary of regulatory activity this week. Simplifying the Pensions & Investment Advice Rules FCA sets out next phase of smarter, more effective regulation A more open, approachable regulator? Simplifying the Pensions & Investment Advice Rules At the Consumer Duty Alliance Conference on Tuesday, the representatives from the FCA trailed the publication of Consultation Paper CP26/10. The press release summarises the consultation. The consultation simplifies the


Compliance Matters: Week ending 20th March 2026
Here is a digest of issues that have come across my desk this week. Just two topics this week. Annual Client Reviews (or are they) Creating a redress system that works better for consumers and firms Annual Client Reviews (or are they) Why not begin this week’s digest with controversy. “There is an argument that we need to rethink annual client reviews to ensure that more clients receive the advice they need.” These are the words of Phil Billingham at Perceptive Plan


Compliance Matters: Week ending 20th February 2026
Here is a digest of issues that have come across my desk this week. Where relevant, I have provided high-level summaries with hyperlinks to documents that give further detail.


Compliance Matters: Week ending 13th February 2026
Hove (actually) Here is a digest of issues that have come across my desk this week. Where relevant, I have provided high-level summaries with hyperlinks to documents that give further detail. The opening article did not lend itself to a hyperlink. Easter and Tax Year End It is worth noting that Good Friday is 3rd April this year, meaning the tax year effectively ends on Thursday 2nd April. Product providers will want applications in the days before that. Some providers


Compliance Matters: Week ending 6th February 2026
Here is a digest of regulatory issues that have come across my desk this week. Where relevant, I have provided high-level summaries and hyperlinks to documents that give further detail.


Compliace Matters week ending 9th January 2026
Here is a digest of regulatory issues that have come into my inbox this week.
• IHT planning following the changes to pensions
• Pension value to be put under the spotlight
Tackling non‑financial misconduct in financial services
Deepening Outcomes Under the Consumer Duty
FCA removes contactless payments limit


Continuous Professional Development: Planning for Your Ongoing Success
No matter which sector of financial services you work in, you need to keep up to date with changes in regulation, legislation and...








































