Nov 15, 20241 min readFCA authorisations are moving more quicklyThe latest statistics, and our recent experiences, demonstrate that the FCA authorisation process is faster than it has been in years.
Oct 2, 20241 min readFCA consults on proposed changes to the safeguarding regime for payments and e-money firmsThe FCA has recently published a consultation paper (CP24/20) regarding proposed changes to the safeguarding rules for payments firms and e-money firms.
Sep 22, 20242 min readThe Big Picture On Fraud PreventionThe Financial Conduct Authority (FCA) plays a key role in preventing fraud. In a recent speech they revealed their thoughts on that role.
Sep 18, 20241 min readFCA offers firms 4 months' extension to implement sustainability naming rulesT he Financial Conduct Authority has granted firms a temporary extension to implement the ‘naming and marketing’ sustainability rules as...
Sep 16, 20242 min readStill more to do monitoring Appointed RepresentativesFCA publishes findings of recent review regarding enhanced Appointed Representative rules
Sep 8, 20243 min readFCA announces continued heat on tackling financial crime The FCA wants to target financial crime activities early to prevent the equivalent of the Great Fire of London. Here are our takeaways.
Jun 26, 20241 min readCountdown to the Consumer Duty 2024As the 31st July deadline looms for closed products implementation and for board sign off on the annual board report, the FCA is publishing
Jun 2, 20241 min readSenior Manager presence in the UKThe FCA has highlighted how important that senior managers have sufficient UK presence to deliver on their reponsibilities.
Mar 28, 20242 min readFCA publishes final guidance on social media financial promotionsOn March 26th 2024 the FCA published its finalised guidance (FG24/1) regarding financial promotions on social media. This new guidance...
Feb 22, 20242 min readConsumer Duty implementation findingsThe Consumer Duty update provides details where the FCA found both good and poor practices implementing the Consumer Duty.
Nov 17, 20231 min readQ2 Authorisations operating service metrics are publishedFCA publishes authorisation operating service metrics for Q2 2023
Oct 25, 20232 min readReview of rules extending SME access to the Financial Ombudsman ServiceReview of Rules allowing SME access to the FOS published by the FCA
Oct 23, 20232 min readFCA makes significant form-filling changes for authorisationsChanges to the design of the FCA Form A
Oct 5, 20231 min readNew and improved Form A is launchedLast week the FCA launched a new version of Form A, one of the most common forms used for Senior Management Function and Controlled...
Oct 3, 20232 min readImproving the Appointed Representative (AR) Regime with dataAdditional data collection by FCA strengthens its approach to the AR Regime
Sep 27, 20231 min readFirms set to receive further FCA Financial Resilience SurveyIn order to understand the affect the current financial climate is having on FCA solo-regulated firms the regulator is planning to send...
Sep 24, 20232 min readFCA launches consultation to boost diversity and inclusion in the financial sectorThe FCA and Prudential Regulation Authority (PRA) have today jointly published proposals to introduce a new regulatory framework to...
Sep 14, 20232 min readFCA publishes Policy Statement on Financial Promotions Approval GatewayGateway for firms who approve financial promotions for unauthorised persons will soon come in to force
Jul 20, 20231 min readConsultation 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...
