A boost for firms seeking authorisation or launching innovative products
The FCA has announced a range of initiatives to help firms seeking authorisation or wanting to launch innovative products and services.
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Improved regime for AIFMs ahead?
The proposals for asset managers are a meaningful change to AIFMD but they may not be positive for all AIFMs. We recommend assessing the impact on your firm and responding to the Call For Input if you see unintended consequences.
FCA publishes its 5 year strategy
We explore some key changes that lie ahead following the publication of the FCA's 2025-2030 strategy.
Polluter pays: What the latest thinking means for firms
The FCA's new guidance states that ‘polluters’ need to meet, not avoid, the redress liabilities owed to consumers when things go wrong.
6 Key Changes To The FCA's Financial Crime Guide: Part 2
The updates made to the Financial Crime Guide reflect the latest thinking from the FCA. Here are 6 key changes that may impact your firm.
6 Key Changes To The FCA's Financial Crime Guide: Part 1
The updates made to the Financial Crime Guide reflect the latest thinking from the FCA. Here are 6 key changes that may impact your firm.
FCA authorisations are moving more quickly
The latest statistics, and our recent experiences, demonstrate that the FCA authorisation process is faster than it has been in years.
First step in removal of KIDs/ PRIIPs
On 30 September 2024, the Financial Conduct Authority (FCA) published an updated version of its statement on forbearance in relation to...
FCA consults on proposed changes to the safeguarding regime for payments and e-money firms
The FCA has recently published a consultation paper (CP24/20) regarding proposed changes to the safeguarding rules for payments firms...
The Big Picture On Fraud Prevention
The Financial Conduct Authority (FCA) plays a key role in preventing fraud. In a recent speech they revealed their thoughts on that role.
FCA offers firms 4 months' extension to implement sustainability naming rules
T he Financial Conduct Authority has granted firms a temporary extension to implement the ‘naming and marketing’ sustainability rules as...
Still more to do monitoring Appointed Representatives
FCA publishes findings of recent review regarding enhanced Appointed Representative rules
Listings rules update
FCA makes further changes to the new listings rules
Introducing criminal background checks for controllers
FCA proposes standard DBS checks to be run on all owners and controllers of financial institutions
Countdown to the Consumer Duty 2024
As the 31st July deadline looms for closed products implementation and for board sign off on the annual board report, the FCA is publishing
Senior Manager presence in the UK
The FCA has highlighted how important that senior managers have sufficient UK presence to deliver on their reponsibilities.
Changes to firm notification form (SUP 15)
Changes to the FCA firm notification form will improve the process and enable the regulator to act sooner
FCA publishes final guidance on social media financial promotions
On March 26th 2024 the FCA published its finalised guidance (FG24/1) regarding financial promotions on social media. This new guidance...
Consumer Duty implementation findings
The Consumer Duty update provides details where the FCA found both good and poor practices implementing the Consumer Duty.
Q2 Authorisations operating service metrics are published
FCA publishes authorisation operating service metrics for Q2 2023
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