SM&CR regulatory references
Regulatory references are central to the Senior Managers & Certification Regime (SM&CR). They help firms make informed decisions about the […]
Compliance
Strengthening Financial Promotions Rules
The riveting read that is the FCA’s 2021/22 Business Plan sets out their consumer priorities for the year ahead. One of these […]
FCA COVID survey – tranche 2 dates
We have received details of the latest COVID survey from the FCA. See below for Tranche 2 dates. […]
General Insurance Pricing Rules – Compliance with ICOBS 6B Attestation
The FCA is requesting that firms who have general insurance permissions (and premium finance providers), complete an online survey in […]
FCA fee changes
The FCA has advised upcoming changes to authorisation application fees as follows: “On 24 January we’ll be simplifying […]
FCA Covid-19 Impact Survey
We have received the information below from the FCA. “Many of you will be aware that we issued […]
IFPR and Remuneration Policy
The new UK Investment Firms Prudential Regime (“IFPR”) came into force on 1 January 2022 and applies to UK investment […]
IFPR – are you ready?
The Investment Firms Prudential Regime (IFPR) represents a significant upheaval to the rules around prudential requirements for “FCA investment firms”. […]
Advising non-UK clients
Despite the fact that the UK ceased to be a member of the EU/EEA almost a year ago, we are […]
DP 21/5 – Compensation Framework Review
The Financial Services Compensation Scheme (FSCS) is the UK’s statutory ‘fund of last resort’ for customers of authorised financial services […]