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...
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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...
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...
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....
Key changes arising from IFPR | webinar
In our webinar on 27 April 2021, Adempi will be exploring the key changes form the new Investment Firm Prudential Regime (IFPR), due to
Could your Wind Down Plan trigger a liquidity requirement?
The FCA issued ‘Finalised Guidance 20/1 - Our framework: Assessing Adequate Financial Resources’ in June 2020 in a bid to ensure that...
Fair Treatment of Vulnerable Customers: Finalised Guidance Released
The Guidance is designed to drive change within firms and help them understand how to achieve the goal of treating vulnerable customers in t
SFDR compliance for UK managers
UK-based managers of funds and portfolio services may need to include ESG disclosures in their product literature from 10 March 2021 if...
'Use it or lose it': the permissions review
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...
Confirmation of the ban on the marketing of speculative illiquid securities
It will be no great surprise that the FCA has confirmed that the existing temporary ban on speculative illiquid securities will be made...
Prudential regime change delayed
Investment firms will be delighted to hear that the timeframe for the prudential rule change has been delayed with HM Treasury now...
Forbearance in the face of a pandemic
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....
Consumer Investments Market: a round table
Tuesday 9 November @ 10am Via Zoom Register here: https://us02web.zoom.us/meeting/register/tZ0oc-6urz0vEtcUb4OgFAyngItbgRQFzDFl If retail...
Covid-19 Impact Survey
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...
Post-Brexit clarity is one step closer
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...
FCA launches the RegData platform
The transition of firms from Gabriel to RegData begins in October 2020. Firms will be moved in tranches to the new regulatory reporting syst
The future of retail investing: views welcomed
If retail investors are important to your business model you may want to answer the FCA’s Call For Input on the Consumer Investments
Identifying which customers are "vulnerable"?
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