The Investment Firms Prudential Regime (IFPR) represents a significant upheaval to the rules around prudential requirements for “FCA investment firms”.
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Despite the fact that the UK ceased to be a member of the EU/EEA almost a year ago, we are
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There is a longstanding regulatory principle (Principle 8) that a firm must manage conflicts of interest fairly, both between itself
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Since MiFIDII came into effect in 2018, it has been a requirement on firms to take reasonable steps to record
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The FCA has published policy statement PS21/6 – Implementation of Investment Firms Prudential Regime (IFPRU). The policy statement
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We completed the latest upgrade to ATEB Suitability on 6th April 2021. This update comes at no additional cost and
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In readiness for the release of a host of new features, we’re writing to inform you about a scheduled maintenance
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The FCA has announced a review of the 10% depreciation notifications requirement. This requirement came into being with MiFIDII in
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Assessing suitability has always essentially been based around the same overarching principles … The recommended product type should
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In Market Watch 66, the FCA reminded firms of its requirements for firms in relation to recording telephone conversations and
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