Menu
FCA survey – reply dates extended

We wrote with details of the latest FCA survey. You can read those details here. The FCA has now extended the response dates as indicated below.

 

 

“On 19 July 2021, we sent the below e-mail informing you of our plans to issue a Covid-19 Impact Survey to firms in Tranche 1 for a fifth time. In recognition of the holiday period in August we have decided to extend the survey completion date. Please see new dates below: 

Batch 1: to be sent on 2 August 2021 – response due by 13 September 2021

Batch 2: to be sent on 3 August 2021 – response due by 14 September 2021

Batch 3: to be sent on 4 August 2021 – response due by 15 September 2021

Batch 4: to be sent on 6 August 2021 – response due by 17 September 2021 

No other changes have been made; the survey questions and supporting material remain the same.”

 

Don’t forget to check Our View about this article and the Actions Required By You

FCA survey – reply dates extended

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.

Our View

For information.

Action Required By You

For information.
SUIT - Beautiful Reports
CREATE BEAUTIFUL
SUITABILITY
REPORTS
TRY IT FOR FREE
SUIT - Complete Control
TAKE BACK
CONTROL OF YOUR
SUITABILITY REPORT
PRODUCTION
TRY IT FOR FREE
SUIT - Comp confidence
SUITABILITY
REPORTS
WITH FULL
COMPLIANCE
CONFIDENCE
TRY IT FOR FREE
previous arrow
next arrow

About the Author

Contact Us

Brought to you by

Explore more articles in this category

Other articles that you might be interested in

Papers

Papers galore!

Compliance , , , , , , , , , , , ,

It has been a busy month for papers and publications at the FCA.      These include:     New Consumer Duty CP  The FCA is consulting on plans to introduce a new Consumer Duty, which aims to set a higher level of consumer protection in retail financial markets. The Duty will have 3 key elements: A new Principle – the […]

Read More
https---s3-eu-west-1.amazonaws.com-fta-ez-prod-ez-images-5-2-0-7-1217025-1-eng-GB-FCA2.JPG?v1

FG21/4: Guidance for insolvency practitioners on how to approach regulated firms

Compliance , , ,

Following consultation in GC 20/05, the FCA has published finalised non-handbook guidance for insolvency practitioners (IPs) on how to approach insolvencies of regulated firms. This finalised guidance aims to help IPs comply with FCA rules and guidance and relevant legislation to achieve better outcomes for consumers and market participants when a regulated firm fails. The […]

Read More
analysis Shallow focus photography of microscope

FG21/3 – Appropriate Pension Transfer Analysis (APTA)

Compliance , , , , ,

COBS 19.1.2 states …   “To prepare an appropriate transfer analysis a firm must:  (1) assess the benefits likely to be paid and options available under the ceding arrangement; (2) compare (1) with those benefits and options available under the proposed arrangement; (3) where the proposed arrangement is a personal pension scheme, stakeholder pension scheme […]

Read More
survey

FCA survey – Credit broking

Compliance , , , , ,

The FCA continues to keep busy with yet another survey being announced. We have received the following notification from the FCA. “We wanted to advise you that we will shortly be sending a survey to all firms holding the credit broking permission. The survey will give us an updated view of whether and how firms […]

Read More
White and black marketing word on brown wooden table

DP 21/1 – strengthening financial promotion rules for high-risk investments

Compliance , , , ,

The FCA has published a discussion paper on strengthening financial promotion rules for high-risk investments and firms approving financial promotions. Following feedback to its Call for Input (CFI) on Consumer Investments which closed in December 2020, the FCA has published discussion paper DP21/1 which outlines proposals to strengthen financial promotion rules for high-risk investments. The […]

Read More
Load More