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...
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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
Review of rules extending SME access to the Financial Ombudsman Service
Review of Rules allowing SME access to the FOS published by the FCA
FCA makes significant form-filling changes for authorisations
Changes to the design of the FCA Form A
New and improved Form A is launched
Last week the FCA launched a new version of Form A, one of the most common forms used for Senior Management Function and Controlled...
Improving the Appointed Representative (AR) Regime with data
Additional data collection by FCA strengthens its approach to the AR Regime
Firms set to receive further FCA Financial Resilience Survey
In order to understand the affect the current financial climate is having on FCA solo-regulated firms the regulator is planning to send...
FCA launches consultation to boost diversity and inclusion in the financial sector
The FCA and Prudential Regulation Authority (PRA) have today jointly published proposals to introduce a new regulatory framework to...
FCA publishes Policy Statement on Financial Promotions Approval Gateway
Gateway for firms who approve financial promotions for unauthorised persons will soon come in to force
Consultation published regarding social media financial promotions
The FCA recently published a consultation on how its financial promotion requirements apply on social media. The purpose of this...
Asset managers criticised over liquidity management
Following its Liquidity Management multi-firm review the FCA has found that firms need to increase their focus on liquidity risk, as...
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