Joint Discussion Paper on diversity and inclusion published
In July the FCA and PRA (Prudential Regulation Authority) published a joint Discussion Paper (DP) aimed at further increasing rapid and...
RESOURCES
Events, opinions and information
Search
FCA sets out plan to tackle consumer investment harm
The FCA has recently published a new consumer investment strategy aimed at giving consumers more confidence to invest, whilst supported...
FCA to move faster to remove unused financial services firm permissions
This January the FCA reminded financial services firms of their obligation to review regulatory permissions and ensure they are up to...
FCA reminds firms of potential financial crime risks linked to Afghanistan
With increasing volatility in Afghanistan as UK and US troops withdraw, the FCA have issued a statement reminding firms that they should...
Google makes verification changes to tackle online financial scams
Financial services marketers and advertisers in the UK now need to be verified by Google in order to advertise online. The Google Ads...
IFPR: The Final Consultation Paper CP21/26
The FCA released the 3rd and final IFPR Consultation Paper CP21/26 on Friday.
FCA publish Decision Notice against Markou for lack of oversight
On 28 July 2021, the FCA published their Decision Notice against Markos Markou, the director and Chief Executive of morgage broker firm...
Unauthorised financial adviser sentenced to 4 years in prison for fraudulent trading
Ian James Hudson, an unauthorised financial adviser, was this week found guilty of fraudulent trading by Judge Tomlinson at Southwark...
PS21/9: Key feedback for implementation of the IFPR
The FCA has released the second Policy Statement PS21/9 on the implementation of the new IFPR regime.
FCA proposes changes to the PRIIPs regulations post Brexit
The FCA has recently published proposals to change Packaged Retail and Insurance-based Investment Products (PRIIPs) regulations. These...
FCA publishes 2021/2022 Business Plan
The FCA has now published its latest Business Plan for 2021/2022, setting out the main objectives and priorities for the year ahead....
Diversity consultation from FCA and PRA
Much more needs to be done to create a truly diverse and inclusive financial services sector according to the UK regulators, FCA and PRA....
Implementation of Investment Firms Prudential Regime
Implementation of the IFPR: Policy Statement PS21/6
Host fund managers fall short of FCA expectations
The FCA has released the outcome of its review of managers of authorised funds who delegate investment management to a third party.
EU 6th Money Laundering Directive comes into force
The 6th Money Laundering Directive became law in EU states on 3rd June 2021. The UK decided not to implement the changes, as it believes...
New treatment for venture capital investments?
Venture capital investments may also be re-classified as speculative illiquid securities which would signal an end to retail investment.
The rise in scams and the threat to a legitimate financial services industry
In May, Mr Steward (FCA Executive Director of Enforcement and Market Oversight) spoke at the City & Financial Global - FCA Investigations...
Key changes arising from IFPR | webinar
In our webinar on 27 April 2021, Adempi will be exploring the key changes form the new Investment Firm Prudential Regime (IFPR), due to
Addressing the harm from 'high risk investments'
DP21/1 sets out proposals that seek to make it harder for retail investors to invest in 'high risk investments'.
Have you submitted your Directory Persons?
The FCA has released a statement to highlight that 2,800 failed to submit Directory Persons' information by the deadline of 31 March and tha