FCA business plan for 2023-24
The FCA has advised as follows: Last year we launched a new three-year strategy to improve outcomes for […]
John Begg
Financial Resilience Survey
The FCA have advised as follows: “We’re asking a number of firms to complete this survey to help […]
Financial Resilience Survey
The FCA has issued the following information. We have published a Consultation Paper with proposals to replace the […]
New notification requirement – 25 June 2022
A new notification rule takes effect from 25 June 2022. Read on for details. Firms will be aware […]
TR22/1 – Thematic Review: Observations on wind-down planning
The FCA has published a Thematic Review report which provides some observations around the quality of wind-down planning in firms. […]
SM&CR regulatory references
Regulatory references are central to the Senior Managers & Certification Regime (SM&CR). They help firms make informed decisions about the […]
Appointed Representatives – some SM&CR questions
Occasionally, we come across firms that are ‘Principal Firms’ – i.e. the firm has Appointed Representatives (AR) but where one […]
Trust Registration Service – update
New rules, transposing the Fifth Money Laundering Directive (5MLD) into UK law took effect on 10 January 2020. One impact […]
Qualification requirements for Pension Transfer Specialists
PS18/20 introduced rules to raise qualification levels for pension transfer specialists (PTSs) to require them to obtain the same qualification […]
Use it … or lose it
In its June quarterly consultation paper, the FCA announced proposals to make amendments to the Handbook relating to its powers […]
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