A new notification rule takes effect from 25 June 2022. Read on for details. Firms will be aware
Read more
The FCA has published a Thematic Review report which provides some observations around the quality of wind-down planning in firms.
Read more
Regulatory references are central to the Senior Managers & Certification Regime (SM&CR). They help firms make informed decisions about the
Read more
Occasionally, we come across firms that are ‘Principal Firms’ – i.e. the firm has Appointed Representatives (AR) but where one
Read more
New rules, transposing the Fifth Money Laundering Directive (5MLD) into UK law took effect on 10 January 2020. One impact
Read more
PS18/20 introduced rules to raise qualification levels for pension transfer specialists (PTSs) to require them to obtain the same qualification
Read more
In its June quarterly consultation paper, the FCA announced proposals to make amendments to the Handbook relating to its powers
Read more
The FCA continues to keep busy with yet another survey being announced. We have received the following notification from the
Read more
The FCA has advised the following: “Many of you will be aware that we issued the first phase of the
Read more
The FCA has announced a review of the 10% depreciation notifications requirement. This requirement came into being with MiFIDII in
Read more