Jul 22, 20211 min readFCA publishes 2021/2022 Business PlanThe FCA has now published its latest Business Plan for 2021/2022, setting out the main objectives and priorities for the year ahead....
Jul 8, 20211 min readDiversity consultation from FCA and PRAMuch more needs to be done to create a truly diverse and inclusive financial services sector according to the UK regulators, FCA and PRA....
Apr 30, 20211 min readKey changes arising from IFPR | webinarIn our webinar on 27 April 2021, Adempi will be exploring the key changes form the new Investment Firm Prudential Regime (IFPR), due to
Apr 1, 20212 min readCould 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...
Feb 24, 20211 min readFair Treatment of Vulnerable Customers: Finalised Guidance ReleasedThe Guidance is designed to drive change within firms and help them understand how to achieve the goal of treating vulnerable customers in t
Feb 22, 20212 min readSFDR compliance for UK managersUK-based managers of funds and portfolio services may need to include ESG disclosures in their product literature from 10 March 2021 if...
Jan 22, 20212 min read'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...
Dec 16, 20202 min readConfirmation of the ban on the marketing of speculative illiquid securitiesIt will be no great surprise that the FCA has confirmed that the existing temporary ban on speculative illiquid securities will be made...
Nov 23, 20201 min readPrudential regime change delayedInvestment firms will be delighted to hear that the timeframe for the prudential rule change has been delayed with HM Treasury now...
Nov 5, 20201 min readForbearance in the face of a pandemicThe FCA continues to focus on the consumer credit market in light of the ongoing pandemic and the effect it is having on retail borrowers....
Nov 2, 20201 min readConsumer Investments Market: a round tableTuesday 9 November @ 10am Via Zoom Register here: https://us02web.zoom.us/meeting/register/tZ0oc-6urz0vEtcUb4OgFAyngItbgRQFzDFl If retail...
Oct 29, 20201 min readCovid-19 Impact SurveyIn 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...
Oct 1, 20202 min readPost-Brexit clarity is one step closerWith 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...
Sep 23, 20201 min readFCA launches the RegData platformThe transition of firms from Gabriel to RegData begins in October 2020. Firms will be moved in tranches to the new regulatory reporting syst
Sep 18, 20201 min readThe 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
Sep 11, 20202 min readIdentifying 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
Aug 4, 20202 min readThe KIDS (still) aren’t alrightKey Information Documents, KIDs, have been the source of much controversy. Now for the UK it seems that the tide is turning.
Jun 2, 20202 min readFirm survey on Financial ResilienceThe FCA is to survey 13,000 firms on the financial impact of Covid-19 including payment services, e-money, consumer credit, custodians, p2P platforms, advisers and wealth managers.
