Regulatory Change – Proposed Changes to the Normal Minimum Pension Age
We have made a change to ATEB Suitability following a recent regulatory development. What does this mean for […]
Conduct
Recording client meetings
Since MiFIDII came into effect in 2018, it has been a requirement on firms to take reasonable steps to record […]
Fund managers falling short on assessing the value of their funds
One of the issues identified in the FCA’s Asset Management Market Study was a lack of competition among fund providers […]
Cryptocurrency prohibition
It is likely that all our readers have heard of cryptocurrency, probably in the guise of Bitcoin. This cryptocurrency and […]
FCA expectations – temporary long term absence
Following consultation in CP20/23, which was published in December 2020, the FCA has made changes to the Handbook. […]
Extension of Annual Financial Crime Reporting Obligations
Policy Statement PS21/4 summarises the FCA’s proposals to increase the number of firms (by circa 4500) who need to submit […]
Papers galore!
It has been a busy month for papers and publications at the FCA. These include: New […]
FG21/4: Guidance for insolvency practitioners on how to approach regulated firms
Following consultation in GC 20/05, the FCA has published finalised non-handbook guidance for insolvency practitioners (IPs) on how to approach […]
PS 21/4 – Extension of Annual Financial Crime Reporting
The FCA has confirmed in PS21/4 that it is proceeding with its previously stated intention to extend the requirement to […]
Finalised guidance – Advising on pension transfers
Alongside the rules introduced in October 2020 by Policy Statement (PS 20/6), the FCA published an accompanying guidance consultation (GC […]