Dear CEO Letter: Alternatives Supervision Strategy
The FCA have issued a Dear CEO letter to firms in the alternative investment sector outlining their view of the main risks of harm that...
Events, opinions and information
The FCA have issued a Dear CEO letter to firms in the alternative investment sector outlining their view of the main risks of harm that...
The long-awaited update to the Packaged Retail and Insurance-based Investment Product (“PRIIPs) rules has arrived. Earlier this month the...
To coincide with COP26 Finance Day the FCA recently published a Discussion Paper on Sustainability Disclosure Requirements and Investment...
The FCA has recently published proposals to change Packaged Retail and Insurance-based Investment Products (PRIIPs) regulations. These...
The FCA has now published its latest Business Plan for 2021/2022, setting out the main objectives and priorities for the year ahead....
Much more needs to be done to create a truly diverse and inclusive financial services sector according to the UK regulators, FCA and PRA....
In our webinar on 27 April 2021, Adempi will be exploring the key changes form the new Investment Firm Prudential Regime (IFPR), due to
The FCA issued ‘Finalised Guidance 20/1 - Our framework: Assessing Adequate Financial Resources’ in June 2020 in a bid to ensure that...
The Guidance is designed to drive change within firms and help them understand how to achieve the goal of treating vulnerable customers in t
UK-based managers of funds and portfolio services may need to include ESG disclosures in their product literature from 10 March 2021 if...
n January this year the FCA warned firms of their “use it or lose it” policy. This reminded firms that the FCA could cancel the...
It will be no great surprise that the FCA has confirmed that the existing temporary ban on speculative illiquid securities will be made...
Investment firms will be delighted to hear that the timeframe for the prudential rule change has been delayed with HM Treasury now...
The FCA continues to focus on the consumer credit market in light of the ongoing pandemic and the effect it is having on retail borrowers....
Tuesday 9 November @ 10am Via Zoom Register here: https://us02web.zoom.us/meeting/register/tZ0oc-6urz0vEtcUb4OgFAyngItbgRQFzDFl If retail...
In June and August 2020, the FCA surveyed 22,500 firms in the first phase of it's Covid-19 Impact Survey. Those firms have been or will...
With the transition period coming to a close and no certainty of any form of agreement, both the FCA and firms have had their work cut...
The transition of firms from Gabriel to RegData begins in October 2020. Firms will be moved in tranches to the new regulatory reporting syst
If retail investors are important to your business model you may want to answer the FCA’s Call For Input on the Consumer Investments
The FCA's view on which customers could be vulnerble may come as a surprise to firms. Here are the 4 Vulnerability Factors to consider