We have received the following update from the FCA;
As communicated on 26 October, we will incrementally publish Directory Persons data from solo-regulated firms from 14 December. In preparation for this, there will be outages for the following systems between 6pm, 11 December and 8am 14 December 2020.
- Financial Services Register;
- The Application Programming Interface (API); and
- Connect – in addition, we will be restricting Directory Persons submissions via Connect from 5pm on Thursday, 10 December.
We will be adding outage notification messages to Connect (Log-in page and ‘Latest News’ section in the application), API and the FS Register.



Advising non-UK clients
Alistair MacDougall Compliance Conduct, EEA, email, EU, FCA, MiFID, passport, PI, vulnerable
Despite the fact that the UK ceased to be a member of the EU/EEA almost a year ago, we are still asked for advice around how a UK firm can take on a new non-UK client or continue to deal with such clients that the firm had pre-BREXIT. We have written before about the general […]