Introducing criminal background checks for controllers
FCA proposes standard DBS checks to be run on all owners and controllers of financial institutions
top of page
RESOURCES
Events, opinions and information
Search
- Jul 1
- 2 min
Nadine Waya joins Adempi Associates
Adempi is delighted to announce that Nadine Waya as their fourth partner. Nadine joins from Triple Point Investment Management where she was
- Jun 27
- 1 min
Countdown to the Consumer Duty 2024
As the 31st July deadline looms for closed products implementation and for board sign off on the annual board report, the FCA is publishing
- Jun 24
- 1 min
Adempi is highly commended at the 2024 EISA Awards
Adempi won the Highly Commended position for Best Legal or Regulatory Adviser to the EIS/SEIS industry at the EIS Association Awards 2024
- Jun 3
- 1 min
Senior Manager presence in the UK
The FCA has highlighted how important that senior managers have sufficient UK presence to deliver on their reponsibilities.
- May 31
- 1 min
Adempi nominated at the 2024 EISA Awards
Adempi shortlisted at the 2024 EISA Awards
- May 5
- 1 min
Changes to firm notification form (SUP 15)
Changes to the FCA firm notification form will improve the process and enable the regulator to act sooner
- Mar 28
- 2 min
FCA publishes final guidance on social media financial promotions
On March 26th 2024 the FCA published its finalised guidance (FG24/1) regarding financial promotions on social media. This new guidance...
- Feb 22
- 2 min
Consumer Duty implementation findings
The Consumer Duty update provides details where the FCA found both good and poor practices implementing the Consumer Duty.
- Feb 1
- 2 min
A letter to the Chancellor regarding High Net Worth Individual Investor rules
An open letter has been penned to the Chancellor criticising the changes to High Net Worth Individual Investor rules and criteria for...
- Jan 10
- 1 min
Applying for S21 Approvals: a VC round table
Did you know that any firm wanting to approve financial promotions for third parties, such as investee companies, must apply to secure a...
- Nov 17, 2023
- 1 min
Q2 Authorisations operating service metrics are published
FCA publishes authorisation operating service metrics for Q2 2023
bottom of page