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
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Senior Manager presence in the UK
The FCA has highlighted how important that senior managers have sufficient UK presence to deliver on their reponsibilities.
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...
Consumer Duty implementation findings
The Consumer Duty update provides details where the FCA found both good and poor practices implementing the Consumer Duty.
Q2 Authorisations operating service metrics are published
FCA publishes authorisation operating service metrics for Q2 2023
Review of rules extending SME access to the Financial Ombudsman Service
Review of Rules allowing SME access to the FOS published by the FCA
FCA makes significant form-filling changes for authorisations
Changes to the design of the FCA Form A
New and improved Form A is launched
Last week the FCA launched a new version of Form A, one of the most common forms used for Senior Management Function and Controlled...
Improving the Appointed Representative (AR) Regime with data
Additional data collection by FCA strengthens its approach to the AR Regime
Firms set to receive further FCA Financial Resilience Survey
In order to understand the affect the current financial climate is having on FCA solo-regulated firms the regulator is planning to send...
FCA launches consultation to boost diversity and inclusion in the financial sector
The FCA and Prudential Regulation Authority (PRA) have today jointly published proposals to introduce a new regulatory framework to...
FCA publishes Policy Statement on Financial Promotions Approval Gateway
Gateway for firms who approve financial promotions for unauthorised persons will soon come in to force
Consultation published regarding social media financial promotions
The FCA recently published a consultation on how its financial promotion requirements apply on social media. The purpose of this...
Anti-greenwashing rules delayed to Q4 2023
The FCA has delayed the SDR Policy Statement, buying firms another valuable few months until the anti-greenwashing rule goes live.
Asset managers criticised over liquidity management
Following its Liquidity Management multi-firm review the FCA has found that firms need to increase their focus on liquidity risk, as...
Retail and pensions access to Long Term Asset Funds is widened
New rules are announced by the FCA to allow retail and pensions access to Long Term Asset Funds
Crypto assets marketing regime is confirmed
The FCA has recently announced the rules for making financial promotions of crypto assets to consumers in Policy Statement 23/6 Crypto...
One month to go until Consumer Duty
There's just one month to go until the implementation of the Consumer Duty on 31st July 2023. Firms are reminded to be ready.
Amending the ban on incentives for high risk investments
The FCA have recently announced that they are consulting on minor amendments to the ban on offering retail clients incentives to invest...
FCA policy statement on financial promotion rules for cryptoassets
On 8th June the FCA announced that the financial promotions regime will apply to crypto assets from 8th October 2023. Rules were also...
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