The latest round of FCA Business Risk Awareness Workshops (BRAW) have been announced for the North-East and North Yorkshire and will take place over coming weeks.
The relevant postcodes are DH, DL, HG, LS, NE, SR, TS, BD, BB, CA, LA.
You should have received an invitation if you are in one of these postcodes.
Important Note: ATEB news is intended to provide general information ONLY. The content, including any views expressed or guidance provided, does not replace the need to comply fully with FCA Rules and Guidance. Unless you have discussed news article content with ATEB, and specifically how it relates to your circumstances, then ATEB disclaims all liability and responsibility and actions arising from any reliance placed upon it. For the avoidance of doubt therefore, any reliance you place on such information without our consultation is at your own risk.
ATEB Compliance offers compliance and regulatory advice.
ATEB Suitability provides report writing software for the financial services market.
These are important events. They form part of the FCA’s approach to supervising smaller firms.
If you haven’t received an invitation, check SPAM etc, and if need be contact the FCA.
It is important that you make every effort to attend.
Re-familiarise yourselves with the Business Risk Awareness assessment process here of which these workshops are only the first part. They will be followed up by regulatory reviews and potentially further follow-up work.
If you need any support or preparation assistance, please contact us here.
The date for certifying staff has been deferred in light of the current health emergency.
The FCA has published the findings from its review of equity release advice.
The FCA is issuing a further data request to firms in the DB transfer market.
The FCA is now preparing to gradually move firms across to RegData, the new data collection platform, which replaces Gabriel.
PS20/06 – part one: ban on contingent charging
Alistair MacDougall Compliance 2020, FCA, Mortgage, Pension, Pension Transfer, PI
The first of four articles explaining the implementation and implications of Policy Statement PS20/06.