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
top of page
RESOURCES
Events, opinions and information
Search
Crypto assets marketing regime is confirmed
The FCA has recently announced the rules for making financial promotions of crypto assets to consumers in Policy Statement 23/6 Crypto...
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,...
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...
Final position on High Risk Investments from FCA
The FCA has released its policy statement on High-Risk Investments (PS22/10) which the FCA has framed in its press release as a 'clamp down
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...
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 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...
P2P Investing Summit 2021
We're delighted to confirm that our co-founder Dena Chadderton will be appearing at the P2P Investing Summit next week, organised by Peer-to
New treatment for venture capital investments?
Venture capital investments may also be re-classified as speculative illiquid securities which would signal an end to retail investment.
Addressing the harm from 'high risk investments'
DP21/1 sets out proposals that seek to make it harder for retail investors to invest in 'high risk investments'.
Consumer Investments Market: a round table
Tuesday 9 November @ 10am Via Zoom Register here: https://us02web.zoom.us/meeting/register/tZ0oc-6urz0vEtcUb4OgFAyngItbgRQFzDFl If retail...
Vulnerable customer awareness | webinar
Join us for a webinar exploring the FCA's evolving expectations of firms when it comes to vulnerable clients. With an increased focus by th
The future of retail investing: views welcomed
If retail investors are important to your business model you may want to answer the FCA’s Call For Input on the Consumer Investments
Identifying which customers are "vulnerable"?
The FCA's view on which customers could be vulnerble may come as a surprise to firms. Here are the 4 Vulnerability Factors to consider
The KIDS (still) aren’t alright
Key Information Documents, KIDs, have been the source of much controversy. Now for the UK it seems that the tide is turning.
Here To Stay? Speculative Illiquid Security rules to be made permanent
the FCA has published the consultation extending the ban on speculative illiquid securities. This is so that the temporary intervention whi
Tax efficient investing & the FCA focus on alternatives
Following on from the Dear CEO letter to the alternatives sector, we'll be looking at what's next for the EIS, SEIS and VCTs in this webinar
bottom of page