FCA welcomes Secondary Capital Raising Review
On 19 July 2022 the Secondary Capital Raising Review (Review) was published, setting out a series of recommendations to the Government,...
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New FCA rules to improve the Appointed Representatives regime
Earlier this month the FCA published Policy Statement PS22/11 setting out new rules aimed at improving the Appointed Representatives (AR)...
Dear CEO Letter: Alternatives Supervision Strategy
The FCA have issued a Dear CEO letter to firms in the alternative investment sector outlining their view of the main risks of harm that...
Consumer Duty: broadening the scope of care for retail customers
The FCA issued the final rules on the new Consumer Duty on 27 July 2022 in PS22/9: A New Consumer Duty. In a press release issued by the...
Lenders asked to support consumers during cost of living crisis
Earlier this month the Financial Conduct Authority (FCA) recently published a Dear CEO letter encouraging lenders to support their...
FCA six-digit reference numbers to change
The FCA has recently announced that the unique six-digit Firm Reference Numbers (FRNs) to identify firms and Product Reference Numbers...
What ESG information can advisers expect of EIS, VCT and BR Managers?
With the increasing public awareness of environmental issues and climate change, investors now want tax-advantaged investments with an...
Critical issues in financial services
On 26th April the FCA published a wide-ranging speech given by its CEO Nikhil Rathi during City Week 2022, in which he highlighted the...
KIDs are finally changing
The long-awaited update to the Packaged Retail and Insurance-based Investment Product (“PRIIPs) rules has arrived. Earlier this month the...
Tackling harm in the consumer investment market
The FCA has taken decisive action to prevent harm in the consumer investment market and earlier this month revealed in its Consumer...
FCA publishes guidance to firms seeking to limit their liabilities
The FCA has warned firms using company or insolvency law to manage their liabilities that they could face regulatory action if their...
Four "Buy-Now-Pay-Later" firms agree to change ‘potentially unfair terms’ for customers
Four major "Buy-Now-Pay-Later" firms have agreed change ‘potentially unfair and unclear terms and conditions’ after an intervention from...
Webinar - Toxic Behaviour: the FCA view
Non-financial misconduct is arguably a harder area to navigate than other areas of misconduct but increasingly it attracts scrutiny from...
Guidance provided by FCA appointing heads of compliance and MLROs
The FCA has recently issued guidance for authorised and registered firms regarding the roles of heads of compliance and money laundering...
FCA plans for a new Consumer Duty
On 7 December 2021, the FCA published its second Consultation Paper (CP21/36) on introducing a new Consumer Duty. This follows its...
FCA introduces new authorisation application fees structure
Earlier this month the Financial Conduct Authority (FCA) announced in its Policy Statement 22/1 the simplification of its current...
Investment firm fined by the FCA for conflicts of interest failings
On 22nd December 2021 the FCA announced it will fine hedge fund BlueCrest Capital Management (UK) LLP for conflict of interest failings....
Is a tougher Appointed Representative Regime on its way?
Earlier this month the FCA published its Consultation Paper (CP21/34) on improving the Appointed Representative (AR) regime....
Scrutiny of the Appointed Representative Regime increases
This month the Appointed Representative regime is under scrutiny with both the FCA and HMT exploring what changes might be needed. The...
FCA publishes an ESG discussion paper to help investors with their decision making
To coincide with COP26 Finance Day the FCA recently published a Discussion Paper on Sustainability Disclosure Requirements and Investment...
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