FCA publications on Consumer Investments
The FCA has been busy. Monday saw the publication of three FCA publications on Consumer Investments. A Consumer Investments…
Update
FCA – Update on SMR and CF (AR) applications
When the Senior Managers and Certification Regime (SM&CR) became effective for solo regulated firms on 9 December 2019, the FCA…
SM&CR and coronavirus: FCA expectations for solo-regulated firms – December 2020 update
In April 2020, the FCA set out their expectations to help solo-regulated firms apply the SM&CR following the exceptional circumstances arising…
Approved Persons Regime (APR) and coronavirus: FCA’s December 2020 update
Twelve-week Rule. In June 2020, the FCA issued a statement detailing their expectations regarding the Approved Persons Regime-coronavirus and introduced a…
FCA Systems Outage
We have received the following update from the FCA; As communicated on 26 October, we will incrementally publish Directory Persons…
Upgraded Costs and Charges Statement Template & Much More
We completed the latest upgrade to ATEB Suitability on 29th November 2020. Following the recent release of our new Xplan…
Claims Management Portfolio Letter
For reasons that will be obvious to most readers, Claims Management Companies (CMCs) are generally not popular with adviser firms.…
EU withdrawal – end of transition
Talk about tempting fate! We pondered whether to publish this article now or wait just a little longer. In favour…
New Xplan Data Integration & Sample Templates Added
We completed the latest upgrade to ATEB Suitability on 15th November 2020. Continuing with our commitment to developing third-party integrations…
Financial difficulty for insurance and premium finance firms
The FCA has updated its guidance for firms operating in the insurance and premium finance markets. These firms include: Insurers;…