Meet FCA New Consumer Duty Regulation and Delight Investors and Clients

Advisers love Oxford Risk’s Investor Compass solution because it meets the FCA New Consumer Duty regulation in a client-friendly way straight out of the box.
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“In getting ready for Consumer Duty we realised that our simple Risk Tolerance questionnaire was not enough. We need the holistic appraisal that Oxford Risk provides – Consumer Duty in a box indeed!”
Oxford Risk Client

FCA New Consumer Duty regulations

The FCA New Consumer Duty requires firms to consider the needs, characteristics and objectives of their customers – including those with characteristics of vulnerability – and how they behave, at every stage of the customer journey. As well as acting to deliver good customer outcomes, firms will need to understand and evidence whether those outcomes are being met.

Consumer Principle – firms are required to act to deliver good outcomes for retail customers.

Cross cutting rules:

  • Act in good faith
  • Avoid causing foreseeable harm
  • Enable and support retail customers to pursue their financial objectives

Four outcomes of the FCA Consumer Duty:

  1. Products and services
  2. Price and value
  3. Consumer understanding
  4. Consumer support

How we meet the FCA New Consumer Duty

Experts in
Behavioural Finance

Over 20 years of experience in producing best-in-class behavioural and Risk Suitability solutions.

  • Clearly measure client composure, confidence, and impulsivity
  • Address behavioural biases
  • Robust and scientific methodology with a clear audit trail
  • Short and client-friendly assessments

Client
Vulnerability

Identify potential areas of client vulnerability and match investors to suitable investment solutions.

  • Match investors to suitable investments
  • Reduce the number of complaints about products and services
  • Evidence your advice suitability processes
  • Risk Capacity checks that investing is affordable

Award-Winning
Software

Modular Risk Suitability software out of the box, or simple API integration for full front-end flexibility.

  • White labeled web application available out of the box
  • Create your own journey using APIs
  • A fully modular solution that includes ESG Sustainability assessments etc.
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Download the guide

FCA Consumer Duty PS22/9

Find out how Oxford Risk can support your firm in meeting the FCA New Consumer Duty regulation PS22/9.

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FCA Consumer Duty PS22/9

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