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News

New steps to improve Whistleblower confidence

by Alex Hackett on 4 May 2023

News article from the FCA, 04/05/2023, https://www.fca.org.uk/news/press-releases/fca-sets-out-steps-improve-whistleblower-confidence The Financial Conduct Authority (FCA) is today setting out actions to improve the...

Magnifying glass on data analysis | Front cover IFPR implementation observations

News

IFPR implementation observations: quantifying threshold requirements and managing financial resources.

by Alex Hackett on 21 April 2023

News article from the Financial Conduct Authority, 09/03/2023, https://www.fca.org.uk/publications/multi-firm-reviews/ifpr-implementation-observations The Investment Firms Prudential Regime (IFPR) is the new prudential regime...

FCA supports firms through the transition to implementing the Consumer Duty

News

FCA supports firms through the transition to implementing the Consumer Duty

by Alex Hackett on 6 March 2023

News article from the Financial Conduct Authority, 03/02/2023, https://www.fca.org.uk/news/press-releases/fca-supports-firms-through-transition-implementing-consumer-duty As firms continue to get ready for the implementation of the...

News

FCA’s request for information on Appointed Representatives

by Alex Hackett on 6 January 2023

If you are a principal firm, you must respond to a mandatory Section 165 request that the FCA sent between...

News

Improvements to the Appointed Representatives’ Regime

by Alex Hackett on 8 August 2022

The FCA has published a Policy Statement PS22/11 which sets out the responses and their feedback to their proposed changes...

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