Early Oversight Function Pilot 26 October 2021 Shirley McKenzieCompliance The FCA set out in its Business Plan 21/22 how it is changing to improve performance and meet future challenges, […] Read More
FCA website URL 28 September 2021 Shirley McKenzieCompliance Redirect links from fsa.gov.uk to fca.org.uk will stop working on 1 October 2021. After 8 years, the fsa.gov.uk […] Read More
Data protection – ICO mailing campaign 21 September 2021 Shirley McKenzieCompliance One of our clients recently asked this ‘easy’ question. “We are a limited company but the firm is […] Read More
Urgent update: Covid-19 Impact Survey 27 August 2021 Shirley McKenzieCompliance We have received the following correspondence from the FCA: “On 12 August 2021, we sent the below e-mail* […] Read More
FCA survey – reply dates extended 3 August 2021 Shirley McKenzieCompliance We wrote with details of the latest FCA survey. You can read those details here. The FCA has now extended […] Read More
Regulation of pre-paid funeral plans 6 July 2021 Shirley McKenzieCompliance We have received the following from the FCA: “The FCA will regulate the sale and administration of pre-paid […] Read More
Change of legal status 25 May 2021 Shirley McKenzieCompliance From 1 June 2021, the FCA will no longer be accepting Change of Legal Status applications. Instead, if you are […] Read More
FCA Covid-19 survey to be repeated 7 May 2021 Shirley McKenzieCompliance We have been advised by the FCA that they intend to issue yet another Covid-19 survey shortly. This is the […] Read More
STOP PRESS: Directory Persons Information 22 April 2021 Shirley McKenzieCompliance We have received the following from the FCA. ATEB can help firms get over the line – call +44 (0) […] Read More
GI and mortgage intermediary firms – PII cover and pandemic exclusions 16 March 2021 Shirley McKenzieCompliance The significant increase in PII costs for firms providing investment advice in recent years and the difficulties for firms doing […] Read More