Introducing criminal background checks for controllers
FCA proposes standard DBS checks to be run on all owners and controllers of financial institutions
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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
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...
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 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...
Changes to FCA Appointed Representative Regime take effect
The FCA recently consulted on changes to protect consumers and address harms across all the sectors where principals and ARs operate....
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...
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...
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...
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....
Key changes arising from IFPR | webinar
In our webinar on 27 April 2021, Adempi will be exploring the key changes form the new Investment Firm Prudential Regime (IFPR), due to
Could your Wind Down Plan trigger a liquidity requirement?
The FCA issued ‘Finalised Guidance 20/1 - Our framework: Assessing Adequate Financial Resources’ in June 2020 in a bid to ensure that...
Fair Treatment of Vulnerable Customers: Finalised Guidance Released
The Guidance is designed to drive change within firms and help them understand how to achieve the goal of treating vulnerable customers in t
SFDR compliance for UK managers
UK-based managers of funds and portfolio services may need to include ESG disclosures in their product literature from 10 March 2021 if...
'Use it or lose it': the permissions review
n January this year the FCA warned firms of their “use it or lose it” policy. This reminded firms that the FCA could cancel the...
Confirmation of the ban on the marketing of speculative illiquid securities
It will be no great surprise that the FCA has confirmed that the existing temporary ban on speculative illiquid securities will be made...
Prudential regime change delayed
Investment firms will be delighted to hear that the timeframe for the prudential rule change has been delayed with HM Treasury now...
Forbearance in the face of a pandemic
The FCA continues to focus on the consumer credit market in light of the ongoing pandemic and the effect it is having on retail borrowers....
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