FCA plans for a new Consumer Duty
On 7 December 2021, the FCA published its second Consultation Paper (CP21/36) on introducing a new Consumer Duty. This follows its...
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FCA introduces new authorisation application fees structure
Earlier this month the Financial Conduct Authority (FCA) announced in its Policy Statement 22/1 the simplification of its current...
Investment firm fined by the FCA for conflicts of interest failings
On 22nd December 2021 the FCA announced it will fine hedge fund BlueCrest Capital Management (UK) LLP for conflict of interest failings....
Is a tougher Appointed Representative Regime on its way?
Earlier this month the FCA published its Consultation Paper (CP21/34) on improving the Appointed Representative (AR) regime....
Scrutiny of the Appointed Representative Regime increases
This month the Appointed Representative regime is under scrutiny with both the FCA and HMT exploring what changes might be needed. The...
FCA publishes an ESG discussion paper to help investors with their decision making
To coincide with COP26 Finance Day the FCA recently published a Discussion Paper on Sustainability Disclosure Requirements and Investment...
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...
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.
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