2 minCould your Wind Down Plan trigger a liquidity requirement?The FCA issued ‘Finalised Guidance 20/1 - Our framework: Assessing Adequate Financial Resources’ in June 2020 in a bid to ensure that...
1 minKey changes arising from the new Investment Firm Prudential RegimeIn our webinar on 27 April 2021, Adempi will be exploring the key changes form the new Investment Firm Prudential Regime (IFPR), due to
1 minFair Treatment of Vulnerable Customers: Finalised Guidance ReleasedThe Guidance is designed to drive change within firms and help them understand how to achieve the goal of treating vulnerable customers in t
2 minSFDR compliance for UK managersUK-based managers of funds and portfolio services may need to include ESG disclosures in their product literature from 10 March 2021 if...
2 min'Use it or lose it': the permissions review The FCA is reminding firms to review their permissions, checking that they are using them and relinquishing any they are not. This is...
1 minConsultation Paper: New Prudential Regime for Investment FirmsThe much-awaited consultation paper on the new UK Investment Firm Prudential Regime (IFPR), was released in December. Full details can be fo
2 minConfirmation of the ban on the marketing of speculative illiquid securitiesIt will be no great surprise that the FCA has confirmed that the existing temporary ban on speculative illiquid securities will be made...
1 minPrudential regime change delayedInvestment firms will be delighted to hear that the timeframe for the prudential rule change has been delayed with HM Treasury now...
1 minForbearance in the face of a pandemicThe FCA continues to focus on the consumer credit market in light of the ongoing pandemic and the effect it is having on retail borrowers....
1 minConsumer Investments Market: a round tableTuesday 9 November @ 10am Via Zoom Register here: https://us02web.zoom.us/meeting/register/tZ0oc-6urz0vEtcUb4OgFAyngItbgRQFzDFl If retail...
1 minCovid-19 Impact SurveyIn June and August 2020, the FCA surveyed 22,500 firms in the first phase of it's Covid-19 Impact Survey. Those firms have been or will...
2 minPost-Brexit clarity is one step closerWith the transition period coming to a close and no certainty of any form of agreement, both the FCA and firms have had their work cut...
1 minFCA launches the RegData platformThe transition of firms from Gabriel to RegData begins in October 2020. Firms will be moved in tranches to the new regulatory reporting syst
1 minThe future of retail investing: views welcomed If retail investors are important to your business model you may want to answer the FCA’s Call For Input on the Consumer Investments
2 minIdentifying which customers are "vulnerable"?The FCA's view on which customers could be vulnerble may come as a surprise to firms. Here are the 4 Vulnerability Factors to consider
2 minThe KIDS (still) aren’t alrightKey Information Documents, KIDs, have been the source of much controversy. Now for the UK it seems that the tide is turning.
1 minGrace period for complaints handling endsThe FCA considers firms have had sufficient time to overcome the practical challenges that may have make responding to consumer...
1 min6 targeted actions for CEOs of payments and e-money institutionsA portfolio strategy letter was sent to the CEOs of payment institutions (PIs) & e-money institutions (EMIs) highlighting 6 key action areas
2 minWill approving non-group company promotions to be a thing of the past?The Treasury will be reviewing the process by which FCA authorised firms sign off financial promotions for third parties.
1 minSustainability-related disclosures in financial services Environmental, social and governance (ESG) matters will become ever more important in the financial sector once the Disclosure Regulation
