Countdown to the Consumer Duty 2024
As the 31st July deadline looms for closed products implementation and for board sign off on the annual board report, the FCA is publishing
Events, opinions and information
As the 31st July deadline looms for closed products implementation and for board sign off on the annual board report, the FCA is publishing
Did you know that any firm wanting to approve financial promotions for third parties, such as investee companies, must apply to secure a...
Gateway for firms who approve financial promotions for unauthorised persons will soon come in to force
The FCA recently published a consultation on how its financial promotion requirements apply on social media. The purpose of this...
The FCA has delayed the SDR Policy Statement, buying firms another valuable few months until the anti-greenwashing rule goes live.
There's just one month to go until the implementation of the Consumer Duty on 31st July 2023. Firms are reminded to be ready.
The UK government has recently published further details on the new ‘failure to prevent fraud’ offence in which organisations will now be...
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 FCA issued the final rules on the new Consumer Duty on 27 July 2022 in PS22/9: A New Consumer Duty. In a press release issued by the...
The FCA has released its policy statement on High-Risk Investments (PS22/10) which the FCA has framed in its press release as a 'clamp down
The FCA has recently announced that the unique six-digit Firm Reference Numbers (FRNs) to identify firms and Product Reference Numbers...
On 26th April the FCA published a wide-ranging speech given by its CEO Nikhil Rathi during City Week 2022, in which he highlighted the...
The FCA has taken decisive action to prevent harm in the consumer investment market and earlier this month revealed in its Consumer...
The FCA has warned firms using company or insolvency law to manage their liabilities that they could face regulatory action if their...
On 7 December 2021, the FCA published its second Consultation Paper (CP21/36) on introducing a new Consumer Duty. This follows its...
Earlier this month the Financial Conduct Authority (FCA) announced in its Policy Statement 22/1 the simplification of its current...
On 22nd December 2021 the FCA announced it will fine hedge fund BlueCrest Capital Management (UK) LLP for conflict of interest failings....
Earlier this month the FCA published its Consultation Paper (CP21/34) on improving the Appointed Representative (AR) regime....
This month the Appointed Representative regime is under scrutiny with both the FCA and HMT exploring what changes might be needed. The...
On November 1st the FCA set out its latest planned Regulatory Initiatives Grid for the next 24 month period, as set out by the Financial...