Aug 42 min readFCA sets faster authorisation targetsThe FCA plans to speed up the authorisation process for firms and individuals to help support UK growth whilst maintaining robust checks.
Jun 192 min readFCA set to launch private trading platform PISCESThe Financial Conduct Authority (FCA) has launched a new platform that enables the trading of private company shares. PISCES (Private...
May 282 min readComplaints, Consumer Duty, and the FCA: the Key Takeaways for FirmsThe FCA highlights good and bad practice on Complaints, Consumer Duty, Root Cause Analysis and Governance.
May 142 min readIntroduction of a new Consumer Credit regulatory returnThe new CCR009 return for Consumer Credit firms, asks tailored questions, reflecting firms' specific business models.
May 21 min readSimplifying regulatory capital for MIFIDPRU firmsWith the proposed change to the definition of regulatory capital for MIFIDPRU, the requirements should be easier to understand and apply
Apr 32 min readVulnerable Customers: more work to doMore 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.
Mar 273 min readFCA publishes its 5 year strategyWe explore some key changes that lie ahead following the publication of the FCA's 2025-2030 strategy.
Mar 245 min readPrivate Market Valuations In The SpotlightThe FCA has published the results of its Private Markets Valuation Review and there is a lot for affected firms to action.
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.
Jul 12, 20242 min readIntroducing criminal background checks for controllers FCA proposes standard DBS checks to be run on all owners and controllers of financial institutions
May 5, 20241 min readChanges to firm notification form (SUP 15)Changes to the FCA firm notification form will improve the process and enable the regulator to act sooner
Oct 6, 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...
Sep 28, 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...
Mar 24, 20231 min readFCA issues metrics update for authorisation timescalesOn 21 March 2023 the FCA published an update on its operating service metrics for dealing with various applications, including...
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....
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...
Mar 29, 20221 min readKIDs are finally changingThe long-awaited update to the Packaged Retail and Insurance-based Investment Product (“PRIIPs) rules has arrived. Earlier this month the...
Mar 10, 20221 min readFour "Buy-Now-Pay-Later" firms agree to change ‘potentially unfair terms’ for customersThe FCA has enforced fairness and transparency of contract terms of the Buy Now Pay Later sector despite not regulating the sector.
Nov 7, 20212 min readFCA publishes an ESG discussion paper to help investors with their decision makingTo coincide with COP26 Finance Day the FCA recently published a Discussion Paper on Sustainability Disclosure Requirements and Investment...
Jul 26, 20211 min readFCA proposes changes to the PRIIPs regulations post BrexitThe FCA has recently published proposals to change Packaged Retail and Insurance-based Investment Products (PRIIPs) regulations. These...
