What does 'enhanced supervision' mean for small firms?

clock •

Sesame Bankhall's Jane Greenwood explains what the FSA's enhanced supervision strategy means for small adviser firms.

With the FSA’s “enhanced supervision strategy” for small firms two thirds complete, the regulator recently outlined its plans for even more intensive supervision of small intermediary firms. The big question, clearly, is what will ‘more intensive supervision’ look like? From what we can gather, the following are the areas likely to be firmly on the FSA’s small firms’ radar during 2010. Firms who have been on the receiving end of an FSA Treating Customers Fairly (TCF) Assessment over the last couple of years will already have had some insight into the FSA’s more intrusive approach. The...

To continue reading this article...

Join Professional Adviser for free

  • Unlimited access to real-time news, industry insights and market intelligence
  • Stay ahead of the curve with spotlights on emerging trends and technologies
  • Receive breaking news stories straight to your inbox in the daily newsletters
  • Make smart business decisions with the latest developments in regulation, investing retirement and protection
  • Members-only access to the editor’s weekly Friday commentary
  • Be the first to hear about our events and awards programmes

Join

 

Already a Professional Adviser member?

Login

More on Regulation

FCA brings ESG ratings providers under scope for first time in 'sensible evolution'

FCA brings ESG ratings providers under scope for first time in 'sensible evolution'

Authorisation required from June 2028

Michael Nelson
clock 03 November 2026 • 3 min read
Treasury Committee flags potential bank tax Budget leak to FCA and Treasury

Treasury Committee flags potential bank tax Budget leak to FCA and Treasury

Dame Meg Hillier pens letter after Bloomberg article went live at 10:45am

Isabel Baxter
clock 29 October 2026 • 3 min read
FCA stands firm on not advocating for legislative change on AI

FCA stands firm on not advocating for legislative change on AI

‘That is the appropriate proportionate response’

Sophia Panayi
clock 22 October 2026 • 2 min read