FCA live events
These could be of interest.
Compliance
Dealing with Powers of Attorney
The Office of the Public Guardian has produced a helpful guide for firms in how to deal with customers where […]
FCA Business Plan 2019-20
The FCA has announced its priorities for action over the coming months.
Vertical Integration – the new era of distribution?
This business model offers cost and profitability benefits for firms ... but there are risks.
Investment Platforms Market Study
The FCA has reported its conclusions on the Platform market ahead of a Consultation Paper.
Senior Managers and Certification Regime – TISA slides
TISA has produced a useful set of slides explaining the SM&CR
FCA Press Release – SM&CR
The FCA has issued a press release urging firms to start preparation for the SM&CR which applies to all FCA […]
Use of social media in financial services – the FCA’s view
How do FCA regulations impinge on firms' use of social media?
Preparing for the Senior Managers and Certification Regime
The SM&CR applies to all FCA regulated firms from December 2019.
Mortgages Market Study final report published
The FCA has published a Mortgages Market Study final report that includes its vision and proposed changes.