FCA – Update on SMR and CF (AR) applications
Approvals are currently taking longer than normal.
Another March reminder! Solo-regulated firms must submit their Directory Persons data via Connect by 31 March 2021. Submissions of 10 persons or more using the multiple upload functionality must be done between 11 January and 18 March to ensure submissions are processed ahead of the deadline. A failure to submit required data in time would be a [...]
Alistair MacDougall Compliance 2019, 2020, FCA, Pension, Pension Transfer, SM&CR, Update
Approvals are currently taking longer than normal.
Alistair MacDougall Compliance COVID-19, FCA, Gabriel
For information.
Alistair MacDougall Compliance 2018, 2021, Data Protection Act, FCA, GDPR, Pension, PI
It is 2021 and changes are afoot …
Alistair MacDougall Compliance 2020, Pension, Pension Transfer
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Alistair MacDougall Compliance 2020, FCA, Update
Coronavirus updates to be aware of …
Alistair MacDougall Compliance 2020, COVID-19, FCA, ML, SM&CR, Update
Updates to be aware of …
Alistair MacDougall Compliance COVID-19, FCA, Gabriel, Mortgage, PI
The FCA has asked us to inform all our client firms about the upcoming Covid-19 survey. See below. “Many of you will be aware that we issued the first phase of the Covid-19 Impact Survey in June, covering around 13,000 firms across 15 Supervision portfolios (Tranche 1), and then rolled this out to a further […]
Alistair MacDougall Compliance 2020, FCA, PI
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FCA – Certification Regime considerations for all firms – Annual Certification
Alistair MacDougall Compliance 2019, FCA, SM&CR
Make sure you meet the SM&CR deadlines.