FCA Final Notices – riveting reads
The title may well lead you to thinking that this guy isn’t too tightly wrapped and perhaps a couple of […]
SM&CR
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 […]
Consumer Duty isn’t the only thing that’s new on 31 July
Most of the talk in the financial services industry relating to 31/7/23 focuses on Consumer Duty and for good reason, […]
Advice – Simplified?
The FCA has published proposals for a simplified advice regime, but don’t get too excited – just yet. At […]
New notification requirement – 25 June 2022
A new notification rule takes effect from 25 June 2022. Read on for details. Firms will be aware […]
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 […]
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 […]
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 […]
Papers galore!
It has been a busy month for papers and publications at the FCA. These include: New […]