Do you mark your own homework?
Most firms will have at least vague recollections of the FSA’s thematic review of pension switching and the report it […]
Senior Manager
PS22/14 – Consumer redress scheme for unsuitable advice to transfer out of the British Steel Pension Scheme
This article will be of relevance to firms who have provided pension transfer advice to members of the British Steel […]
FG22/4 – FCA approach to compromise arrangements
The FCA has issued final guidance (FG22/4) for regulated firms entering into, or considering entering into compromise arrangements with creditors […]
New FCA fee for Form A applications
We have been advised by the FCA as follows: “Following our recent revalorisation of the application fees earlier […]
Awareness of the new FCA rule changes of sustainability
You read it here first – probably! The FCA has finalised new rules around disclosure in relation to sustainability. […]
SM&CR regulatory references
Regulatory references are central to the Senior Managers & Certification Regime (SM&CR). They help firms make informed decisions about the […]
General Insurance Pricing Rules – Compliance with ICOBS 6B Attestation
The FCA is requesting that firms who have general insurance permissions (and premium finance providers), complete an online survey in […]
FCA fee changes
The FCA has advised upcoming changes to authorisation application fees as follows: “On 24 January we’ll be simplifying […]
Conduct Rules Breaches – follow up
We wrote recently about the Conduct Rules and, in particular, breaches and notifications . See here. This article is intended […]
Appointed Representatives – some SM&CR questions
Occasionally, we come across firms that are ‘Principal Firms’ – i.e. the firm has Appointed Representatives (AR) but where one […]
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