Financial Services: Regulation

Summary

To ask the Chancellor of the Exchequer, whether he plans to make an assessment of the potential merits of introducing additional provisions on (a) the due diligence required of financial intermediaries prior to making recommendations to investors and (b)

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Timeline

1. 30 December 2020

   Written question

   To ask the Chancellor of the Exchequer, whether he plans to make an assessment of the potential merits of introducing additional provisions on (a) the due diligence required of financial intermediaries prior to making recommendations to investors and (b)

   Source: Commons

2. 14 January 2021

   Answer

   The Treasury works closely with the Financial Conduct Authority (FCA) to ensure that the financial advice market works well, competitively and fairly for firms and consumers. As the regulator, the FCA expect financial advisers to understand their client’s...

   Source: Written answer

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• · Treasury · Answering body

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