FCA sets faster authorisation targets
The FCA plans to speed up the authorisation process for firms and individuals to help support UK growth whilst maintaining robust checks.
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FCA set to launch private trading platform PISCES
The Financial Conduct Authority (FCA) has launched a new platform that enables the trading of private company shares. PISCES (Private...
Complaints, Consumer Duty, and the FCA: the Key Takeaways for Firms
The FCA highlights good and bad practice on Complaints, Consumer Duty, Root Cause Analysis and Governance.
Introduction of a new Consumer Credit regulatory return
The new CCR009 return for Consumer Credit firms, asks tailored questions, reflecting firms' specific business models.
Simplifying regulatory capital for MIFIDPRU firms
With the proposed change to the definition of regulatory capital for MIFIDPRU, the requirements should be easier to understand and apply
Vulnerable Customers: more work to do
More needs to be done to protect vulnerable customers according to the latest good and bad practice findings from the FCA's review following the introduction of the Consumer Duty.
FCA publishes its 5 year strategy
We explore some key changes that lie ahead following the publication of the FCA's 2025-2030 strategy.
Private Market Valuations In The Spotlight
The FCA has published the results of its Private Markets Valuation Review and there is a lot for affected firms to action.
FCA authorisations are moving more quickly
The latest statistics, and our recent experiences, demonstrate that the FCA authorisation process is faster than it has been in years.
Introducing criminal background checks for controllers
FCA proposes standard DBS checks to be run on all owners and controllers of financial institutions
Changes to firm notification form (SUP 15)
Changes to the FCA firm notification form will improve the process and enable the regulator to act sooner
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...
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 issues metrics update for authorisation timescales
On 21 March 2023 the FCA published an update on its operating service metrics for dealing with various applications, including...
Changes to FCA Appointed Representative Regime take effect
The FCA recently consulted on changes to protect consumers and address harms across all the sectors where principals and ARs operate....
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...
KIDs are finally changing
The long-awaited update to the Packaged Retail and Insurance-based Investment Product (“PRIIPs) rules has arrived. Earlier this month the...
Four "Buy-Now-Pay-Later" firms agree to change ‘potentially unfair terms’ for customers
The FCA has enforced fairness and transparency of contract terms of the Buy Now Pay Later sector despite not regulating the sector.
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...
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...
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