Another March reminder!
Solo-regulated firms must submit their Directory Persons data via Connect by 31 March 2021.
Submissions of 10 persons or more using the multiple upload functionality must be done between 11 January and 18 March to ensure submissions are processed ahead of the deadline.
A failure to submit required data in time would be a breach of regulatory reporting requirements and could lead to enforcement or supervisory action.
There is a £250 admin fee for late or incorrect submissions.
Double bubble equals trouble
Paul Jay Compliance EBI, FCA, PI, platform
A lot of our recent articles have provided our views on what we see as a significant shift in the FCA’s stance and the tone of their language. Not because we do so for the fun of it, but because there has been a tangible shift. As yet, the anticipated findings from the thematic review […]