Jan 31, 20231 min readFCA consultation on Section 21 Gateway ends 7th February 2023.On 6th December 2022 the FCA published consultation (CP22/27) in which it set out its proposal to operate a new gateway for firms who...
Jan 27, 20231 min readNew Financial Resilience Survey for FCA solo-regulated firms.In October 2022 the FCA published a consultation paper (CP22/19) with proposals to replace the FCA Financial Resilience Survey with a new...
Jan 13, 20231 min readFCA publishes further discussion paper for the UK PRIIP regimeIn response to the growing trend towards online investments and the digital distribution of disclosure the FCA recently published a...
Dec 16, 20221 min readChanges to FCA Appointed Representative Regime take effectThe FCA recently consulted on changes to protect consumers and address harms across all the sectors where principals and ARs operate....
Nov 18, 20222 min readSustainable Disclosure Requirements: the FCA aims to provide greater clarity to tackle greenwashingLast month the FCA published its consultation (CP22/20) on the Sustainability Disclosure Requirements and investment labels for the UK...
Oct 5, 20221 min readNew financial resilience return on the horizonIn early October the FCA announced a consultation paper (CP22/19) to replace the current Financial Resilience Survey (formerly “Covid-19...
Oct 4, 20222 min readEarly insight into FCA's approach to Sustainable FinanceIt’s Good Money Week 2022 and he FCA has shared some insights into the disclosure and labelling regimes for sustainable investments
Sep 25, 20221 min readBroadening access to the Long Term Asset Fund (LTAF), Last month the Financial Conduct Authority (FCA) launched a consultation paper (CP22/14) on broadening access to the Long Term Asset Fund...
Sep 11, 20223 min readConsumer Duty: what are the deadlines?The 4 key Consumer Duty dates and key steps your firm can be taking at each point.
Aug 22, 20222 min readDear CEO Letter: Alternatives Supervision Strategy Earlier this month the FCA updated its supervisory strategy and priorities for firms within its "Alternatives" portfolio in a Dear CEO...
Aug 18, 20221 min readStrengthening the oversight of critical third parties On 21 July 2022 the Bank of England (BOE), Financial Conduct Authority (FCA) and the Prudential Regulatory Authority (PRA) published a...
Aug 17, 20222 min readFinancial Services and Markets Bill is set to change the financial sectorOn July 20th the UK Government published the Financial Services and Markets Bill (FSMB). The Bill is a major piece of legislation, and...
Aug 16, 20221 min readFCA welcomes Secondary Capital Raising ReviewOn 19 July 2022 the Secondary Capital Raising Review (Review) was published, setting out a series of recommendations to the Government,...
Aug 15, 20221 min readNew FCA rules to improve the Appointed Representatives regimeEarlier this month the FCA published Policy Statement PS22/11 setting out new rules aimed at improving the Appointed Representatives (AR)...
Aug 9, 20222 min readDear CEO Letter: Alternatives Supervision StrategyThe FCA have issued a Dear CEO letter to firms in the alternative investment sector outlining their view of the main risks of harm that...
Aug 2, 20221 min readConsumer Duty: broadening the scope of care for retail customersThe FCA issued the final rules on the new Consumer Duty on 27 July 2022 in PS22/9: A New Consumer Duty. In a press release issued by the...
Aug 2, 20222 min readFinal position on High Risk Investments from FCA The FCA has released its policy statement on High-Risk Investments (PS22/10) which the FCA has framed in its press release as a 'clamp down
Jun 29, 20222 min readLenders asked to support consumers during cost of living crisisEarlier this month the Financial Conduct Authority (FCA) recently published a Dear CEO letter encouraging lenders to support their...
Jun 28, 20221 min readFCA six-digit reference numbers to changeThe FCA has recently announced that the unique six-digit Firm Reference Numbers (FRNs) to identify firms and Product Reference Numbers...
May 2, 20221 min readCritical issues in financial servicesOn 26th April the FCA published a wide-ranging speech given by its CEO Nikhil Rathi during City Week 2022, in which he highlighted the...
