The FCA has announced a new series of monthly Q&A roundtable discussions for mortgage intermediaries and lenders across the UK, with the first stop in Glasgow on 29 October. There is no set agenda for these sessions; topics for discussion are determined by the attendees at each session.
These informal monthly ‘Ask the regulator’ events will conclude in March 2020.
Details of the dates and venues can be found in the registration page of the FCA website.
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We have developed an online training course to assist T&C supervisors demonstrate competence in their role.
We have completed the latest upgrade to ATEB Suitability on 14th August 2022. This update comes at no additional cost and provides various template related enhancements as well as a new addition to our content integration library. Full details of the enhancements can be found in the tables below, but some of the highlights are: […]
In our previous article following the issuance of FCA’s Policy Statement PS22/11, we covered the Regulator’s rationale for changes to the Appointed Representative (AR) regime and the outcomes it is looking for. This article looks in more detail at the new rules and requirements and the wider impacts of the revised requirements.
FCA recently published Policy Statement (PS22/11) announcing some key changes to the Appointed Representatives (AR) regime, affecting both AR firms and their Principals.
Consumer Duty starts to take hold
Lisa Cross Compliance
Consumer Duty rules will take full effect from 31 July 2023. However, it is starting to show its face already. This message is now appearing on Connect in some circumstances. “The majority of firm types that need to apply for authorisation or existing firms seeking to vary their permissions will need to comply with […]