Notifying breaches of the Conduct Rules
Even with all the deferrals of deadlines around implementation of the SMCR as a result of COVID, firms should now
Senior Manager
Update on SMR and CF (AR) applications
The FCA has published an update on the timescales and delays currently being experienced by firms that submit application for
Anti Money Laundering Review …… Dear CEO – Banking Sector
The Financial Conduct Authority (FCA), in May 2021, issued a Dear CEO letter entitled “Action needed in response to common
PS21_5 General Insurance Pricing Practices Market Study
Following a series of market studies and guidance papers, that can all be accessed here; the FCA issued a policy
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.
Papers galore!
It has been a busy month for papers and publications at the FCA. These include: New
Directory Persons Data
The FCA has been writing to some firms recently with an ‘ACT NOW’ message, stating: “We are writing to you
The Final Countdown to Senior Managers and Certificate Regime (SM&CR)
March is almost here and Spring is in the air. So probably the last thing you are thinking about is