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.



Conduct Rules Breaches – follow up
Huw Reynolds Compliance Conduct, FCA, Pension, Senior Manager, Update
We wrote recently about the Conduct Rules and, in particular, breaches and notifications . See here. This article is intended to clarify some of the grey around COCON breaches. All of the following is taken from Policy Statement PS 18-14. When is disciplinary action required? When and how a firm decides to undertake disciplinary action […]