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IFPR implementation observations: quantifying threshold requirements and managing financial resources.
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...
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FCA supports firms through the transition to implementing the Consumer Duty
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...
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FCA’s request for information on Appointed Representatives
If you are a principal firm, you must respond to a mandatory Section 165 request that the FCA sent between...
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Improvements to the Appointed Representatives’ Regime
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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Improving Equity Secondary Markets Consultation Paper
On 5 July, the FCA published a Consultation Paper on proposals to improve the functioning of equity secondary markets. The...