New notification requirement – 25 June 2022
A new notification rule takes effect from 25 June 2022. Read on for details. Firms will be aware
John Begg
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
FCA survey – Credit broking
The FCA continues to keep busy with yet another survey being announced. We have received the following notification from the
FCA COVID SURVEY – PART 4
The FCA has advised the following: “Many of you will be aware that we issued the first phase of the
10% depreciation reporting to be reviewed
The FCA has announced a review of the 10% depreciation notifications requirement. This requirement came into being with MiFIDII in
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