Review of rules extending SME access to the Financial Ombudsman Service
Review of Rules allowing SME access to the FOS published by the FCA
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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...
One month to go until Consumer Duty
There's just one month to go until the implementation of the Consumer Duty on 31st July 2023. Firms are reminded to be ready.
Amending the ban on incentives for high risk investments
The FCA have recently announced that they are consulting on minor amendments to the ban on offering retail clients incentives to invest...
FCA policy statement on financial promotion rules for cryptoassets
On 8th June the FCA announced that the financial promotions regime will apply to crypto assets from 8th October 2023. Rules were also...
Consultation Paper launched to improve protection for borrowers in financial difficulty
On 25th May 2023 the FCA published a Consultation Paper (CP23/13) setting out its plans to remove the current Tailored Support Guidance...
The rise of the fin-fluencer – financial educators or risk promoters
It’s hardly surprising in the current digital age of social media apps such as Tik-Tok, YouTube Instagram and Twitter that the rise of...
Directors convicted in Collateral fraud case
Following a 5 week trial the two founders (Peter and Andrew Currie) of Collateral UK have been convicted of both fraud and money...
Steps to improve whistleblower confidence announced by the FCA
This week the FCA set out the actions it will take in order to improve the confidence of whistleblowers. This follows a qualitative...
Innovation, artificial intelligence and the future of financial regulation
Last week the FCA published the speech by Jessica Rusu, their Chief Data, Information and Intelligence Officer, delivered to delegates...
FCA issues metrics update for authorisation timescales
On 21 March 2023 the FCA published an update on its operating service metrics for dealing with various applications, including...
FCA to collect Treasury’s economic crime levy (Anti-Money Laundering) from July
The Government has introduced an economic crime levy (ECL) to fund its fight against the rise in economic crime and money laundering. The...
Fast-growing firms review published by FCA
Earlier this month the FCA published a review of its findings and expectations of FCA solo-regulated fast-growing firms. The review was...
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