Algorithmic Accountability: AI, Consumer Duty, and the New Frontier of Fairness in UK Finance

FCA Communications Compliance: How Portfolio Managers and Client Teams Can Meet FCA Compliance Requirements

Are your client communications fully FCA-compliant or could they be putting your firm at risk? For portfolio managers, every email, phone call, or meeting is more than just an exchange of information, it’s a potential regulatory checkpoint. To meet FCA compliance client communications requirements, you must align with COBS communications compliance, FCA rules, and MAR SMCR client comms rules while maintaining transparency, accuracy, and trust.

How to Prepare for an FCA Supervisory Visit

Preparing for an FCA supervisory visit can feel daunting, but it’s also a valuable opportunity to demonstrate your firm’s strong compliance culture and commitment to meeting every regulatory requirement. For asset managers, senior managers, and others working in financial services, this is your chance to show the Financial Conduct Authority (FCA) that you meet – and exceed – the regulation expectations.

Chip Partners with Sedric to Streamline Financial Promotions with AI-First Compliance