Online Supervisor’s Training Course
We have developed an online training course to assist T&C supervisors demonstrate competence in their role.
Compliance
Appointed Representative regime changes
In our previous article following the issuance of FCA’s Policy Statement PS22/11, we covered the Regulator’s rationale for changes to […]
Changes coming to the Appointed Representatives Regime – and soon!
FCA recently published Policy Statement (PS22/11) announcing some key changes to the Appointed Representatives (AR) regime, affecting both AR firms […]
Financial Sanctions Checks
In response to Russia’s invasion of Ukraine, the FCA published information about the tranche of sanctions announced in relation to […]
Product Governance multi-firm review by the FCA
The FCA conducted a multi-firm review to assess whether manufacturers of general insurance and pure protection products are undertaking the […]
FCA delays Consumer Duty rules
The FCA has confirmed a delay to the introduction of Consumer Duty rules. The press release details are described in […]
FG22/4 – FCA approach to compromise arrangements
The FCA has issued final guidance (FG22/4) for regulated firms entering into, or considering entering into compromise arrangements with creditors […]
FCA Business Plan – 2022/23
The FCA recently published its Business Plan for 2022/23. The plan explains the programme of work for this year to […]
New pension nudge rules
One of our clients recently received this note from a SIPP provider. “You may already be aware that […]
Change to Firm Reference Numbers
The FCA has advised as follows: “We currently use six-digit Firm reference Numbers (FRNs) to uniquely identify firms, […]