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...
top of page
RESOURCES
Events, opinions and information
Search
Latest Regulatory Initiatives Grid published November 2021
On November 1st the FCA set out its latest planned Regulatory Initiatives Grid for the next 24 month period, as set out by the Financial...
Joint Discussion Paper on diversity and inclusion published
In July the FCA and PRA (Prudential Regulation Authority) published a joint Discussion Paper (DP) aimed at further increasing rapid and...
FCA sets out plan to tackle consumer investment harm
The FCA has recently published a new consumer investment strategy aimed at giving consumers more confidence to invest, whilst supported...
FCA to move faster to remove unused financial services firm permissions
This January the FCA reminded financial services firms of their obligation to review regulatory permissions and ensure they are up to...
FCA reminds firms of potential financial crime risks linked to Afghanistan
With increasing volatility in Afghanistan as UK and US troops withdraw, the FCA have issued a statement reminding firms that they should...
Google makes verification changes to tackle online financial scams
Financial services marketers and advertisers in the UK now need to be verified by Google in order to advertise online. The Google Ads...
FCA publish Decision Notice against Markou for lack of oversight
On 28 July 2021, the FCA published their Decision Notice against Markos Markou, the director and Chief Executive of morgage broker firm...
Unauthorised financial adviser sentenced to 4 years in prison for fraudulent trading
Ian James Hudson, an unauthorised financial adviser, was this week found guilty of fraudulent trading by Judge Tomlinson at Southwark...
PS21/9: Key feedback for implementation of the IFPR
The FCA has released the second Policy Statement PS21/9 on the implementation of the new IFPR regime.
FCA proposes changes to the PRIIPs regulations post Brexit
The FCA has recently published proposals to change Packaged Retail and Insurance-based Investment Products (PRIIPs) regulations. These...
FCA publishes 2021/2022 Business Plan
The FCA has now published its latest Business Plan for 2021/2022, setting out the main objectives and priorities for the year ahead....
Diversity consultation from FCA and PRA
Much more needs to be done to create a truly diverse and inclusive financial services sector according to the UK regulators, FCA and PRA....
The rise in scams and the threat to a legitimate financial services industry
In May, Mr Steward (FCA Executive Director of Enforcement and Market Oversight) spoke at the City & Financial Global - FCA Investigations...
The FCA wants “purposeful” AML systems and controls
In a recent speech at the AML & ABC Forum 2021 Mark Steward (the FCA’s Executive Director of Enforcement and Market Oversight) spoke to...
Extended period to implement SM&CR
It is now expected that firms will have a deadline of 31 March 2021 by which to have undertaken all certifications for the first time.
Climate disclosures for listed companies
The FCA has proposed new rules for listed companies that require climate related disclosures to be made.
Wind down planning is here to stay
How ready is your wind down plan? You won't be alone if the need for such a plan sounds like a new development, but all of the regulator's
bottom of page