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Podcast: The Linklaters Podcast
Episode: Scoping for wholesale firms // Consumer Duty
Description: Episode 8: The FCA’s Consumer Duty
In this podcast episode we work through case studies illustrating Consumer Duty scoping for wholesale firms. We discuss the implications of the definition of "retail customer" and opting up, where you might rely on the relevant exemptions including ECM, DCM and retail structured products, and being in a "distribution chain" and consequences for custody services.
This episode features Sara Cody (counsel) and James Morris (managing associate) in Linklaters' London financial regulation team. If you would like to discuss any aspect of the Consumer Duty or you would like to explore how we...