PIMFA
Industry Resources
- FCA LINKS
- FCA Practitioners Pack (February 2015)
- FCA Occasional Paper N.31:Ageing population and financial services (September 2017)
- FCA Financial Lives - experiences of vulnerable customers (July 2020)
- FCA - FG21/1 Guidance for firms on the fair treatment of vulnerable customers (February 2021)
- FCA - Treating Customers Fairly webinar (May 2021)
- FCA fair treatment of Vulnerable Customers FAQs (July 2021)
- FCA: Guidance for firms on the Consumer Duty (FG22/5) (July 2022)
- FCA - Ensuring the fair treatment of customers in vulnerable circumstances (June 2022)
- Dear CEO: Implementing the Consumer Duty in the Consumer Investments sector (January 2023)
- Consumer Duty implementation: good practice and areas for improvement (February 2023)
- Call of Duty: How putting customers front and centre will help industry innovate (speech) (February 2023)
- Explaining Consumer Duty outcomes monitoring (podcast) (June 2023)
- Financial Lives January 2023: Consumer experience of the rising cost of living (May 2023)
- Consumer Duty: Findings from our review of fair value frameworks (May 2023)
- FLS 2022 Consumer investments and financial advice - selected findings (July 2023)
- Dear CEO letter for Wealth Management and Stock-broking firms (November 2023)
- FCA’s Review of firms’ treatment of customers in vulnerable circumstances (March 2024)
- FCA: Treating Vulnerable Consumers Fairly (March 2024)
- FCA Dear CEO letter - Implementing the Consumer Duty for closed products and services by 31 July 2024 (May 2024)
- FCA Consumer Duty updates: Insurance multi-firm review of outcomes monitoring (June 2024)
- FCA Consumer Duty information for firms (June 2024)
- Vulnerability is not a buzzword - Graeme Reynolds speech (October 2024)
- FCA: Consumer Duty Board Reports: good practice and areas for improvement (November 2024)
- FCA: Complaints and root cause analysis: good practice and areas for improvement (November 2024)
- INDUSTRY LINKS
- ABI Guide - Addressing customer vulnerability (2017)
- Altus Whitepaper - A Vulnerability Travelcard for the Financial Services Industry
- Alzheimer’s’ Society - Dementia-friendly financial services
- Amplified Global – Intelligibility and readability of communications
- BSI: requirements for identifying and responding to consumer vulnerability
- Comentis – Vulnerability Support Framework
- Compliancy Services - Consumer Duty and Vulnerable Customers (January 2023)
- Fair Design and The Money Advice Trust - Inclusive Design in Essential Services
- Fairer Finance – Readability score
- Financial Ombudsman - Complaints involving economic and domestic abuse (December 2023)
- Financial Lives 2022 survey: early insights on vulnerability and financial resilience (October 2022)
- Financial Vulnerability Taskforce - A practical guide for financial advisers supporting bereaved clients and their families
- INDUSTRY LINKS
Some of the relevant areas of data protection requirements are set out in Appendix 1
- HM Government - Meeting the Needs of Vulnerable Clients (April 2017)
- Information Commissioner’s Office - A guide to lawful basis
- Information Commissioner’s Office - Consent
- Information Commissioner’s Office - Data sharing: a code of practice (May 2021)
- Information Commissioner’s Office - How do we apply legitimate interests in practice?
- Just – Vulnerable Customer Policy checklist
- Just – Client well-being questionnaire
- Just – Client Support Pack
- Just - Vulnerability in Retirement
- LV=Adviser – Vulnerable Customer Guide
- Mind - The link between money and mental health
- Money Advice Trust - Vulnerability public training session
- Money Advice Trust - Vulnerability resources
- Money Advice Trust and Capital One - Vulnerability Inclusion Handbook
- Money Advice Trust and Money Advice Liaison Group - Vulnerability, GDPR, and disclosure Technical Guide 1
- Money Advice Trust and Money Advice Liaison Group - Vulnerability, GDPR, and disclosure Technical Guide 2
- Money Advice Trust and Money Advice Liaison Group - Vulnerability, GDPR, and disclosure Technical Guide 3
- Money Advice Trust and Money Advice Liaison Group - Vulnerability: meeting expectations and achieving outcomes
- Money Advice Trust Designing data-sharing - what matters for vulnerability and disability? (December 2023)
- Money Advice Trust Invisible designs - FCA warns firms about its expectations on vulnerability (June 2022)
- Money Advice Trust - Disclosure Guidance
- Money And Mental Health - Best Practice Disclosure Guide
- Money And Mental Health - Guide One Disclosure environments
- Money And Mental Health - Guide Two Disclosure experiences
- Money And Mental Health - Guide Three Recording disclosure
- Money And Mental Health - The link between money and mental health factsheet
- Money and Mental Health presentation (May 2023)
- OFCOM - Treating vulnerable customers fairly (September 2022)
- Office of the Public Guardian - revised guidance for new LPAs: (March 2022)
See LP12 – section 7
Chapter 5 sets out information on the recording of vulnerable customer information/ helping firms meet GDPR requirements.
