Change of legal status
From 1 June 2021, the FCA will no longer be accepting Change of Legal Status applications. Instead, if you are […]
Compliance
Papers galore!
It has been a busy month for papers and publications at the FCA. These include: New […]
FG21/4: Guidance for insolvency practitioners on how to approach regulated firms
Following consultation in GC 20/05, the FCA has published finalised non-handbook guidance for insolvency practitioners (IPs) on how to approach […]
FG21/3 – Appropriate Pension Transfer Analysis (APTA)
COBS 19.1.2 states … “To prepare an appropriate transfer analysis a firm must: (1) assess the benefits likely to […]
FCA survey – Credit broking
The FCA continues to keep busy with yet another survey being announced. We have received the following notification from the […]
DP 21/1 – strengthening financial promotion rules for high-risk investments
The FCA has published a discussion paper on strengthening financial promotion rules for high-risk investments and firms approving financial promotions. […]
Financial Resilience Survey – General Insurance
The FCA Financial Resilience team has clarified the intention behind the data requested in their survey in relation to Question […]
FCA Covid-19 survey to be repeated
We have been advised by the FCA that they intend to issue yet another Covid-19 survey shortly. This is the […]
PS 21/4 – Extension of Annual Financial Crime Reporting
The FCA has confirmed in PS21/4 that it is proceeding with its previously stated intention to extend the requirement to […]
FG 21/3 – Pre-transfer advice information for clients
This fourth in a series of articles on FG 21/3 takes a closer look at the guidance around pre-advice information […]