Compliance Insights Articles

FCA Applications: Avoid the Pitfalls

“We are being tougher on firms who want authorisation to operate in the UK,” is a quote from the FCA’s CEO, Nikhil Rathi, from the...

Robert Bell

Feb 8, 2024

Funeral Plan Providers: New FCA Regulations

Funeral Plan providers have just six months to prepare before the Financial Conduct Authority takes over regulation of the sector. A new...

Robert Bell

Jan 31, 2022

Appointed Representatives Consultation

The Financial Conduct Authority has published a consultation on proposed changes to the Appointed Representatives Regime. The...

Robert Bell

Jan 26, 2022

Upcoming FCA Regulation of Pre-Paid Funeral Plans

With a recent substantial rise in funeral costs, the Government’s new legislation will bring pre-paid funeral plans under the regulation...

Robert Bell

Apr 14, 2021

The FCA Reveals Project Innovate has Benefitted Almost 700 Firms

The Financial Conduct Authority have revealed that almost 700 firms have benefitted from support provided by their innovation programme,...

Victoria Bell

May 22, 2019

FCA Authorisation Application in 5 Steps

Most financial service providers and consumer credit firms must be authorised by the Financial Conduct Authority in order to operate and...

Robert Bell

Feb 27, 2019

FCA Temporary Permission Registration for Claims Management Firms

Claims Management Firms are now able to register for temporary permission with the Financial Conduct Authority. From April 2019, the FCA...

Victoria Bell

Jan 8, 2019

How Claims Management Companies Need to Apply for FCA Authorisation & Implications of SM&CR

The regulation of Claims Management Companies (CMCs) within England, Scotland and Wales is due to change in 2019, with the Financial...

Robert Bell

Oct 9, 2018

Claims Management Companies and Upcoming FCA Regulation

Following the Brady Review, commissioned in 2015 to examine the nature of issues in the claims management market, the government has...

Victoria Bell

Sep 5, 2018

The FCA's Approach to Authorisation - A New Consultation

The FCA has recently published a new consultation on their approach to authorisation seeking to ensure that their overall approach to...

Victoria Bell

Feb 7, 2018

4 Steps to Effective Auditing

The serious repercussions of a lack of compliance controls really came to our attention in 2017. With the Grenfell Tower tragedy and a...

Robert Bell

Jan 10, 2018

Is your firm exempt from FCA authorisation under the Financial Services and Markets Act 2000 (Miscel

While most firms need either limited or full permission in order to be able to carry out regulated consumer credit activities, there are...

Victoria Bell

Jan 3, 2018

Limited or Full Permission - What you need to know to apply for FCA authorisation

Taking the first steps towards authorisation with the FCA can seem daunting; the latest in our series on FCA compliance is aimed at...

Robert Bell

Nov 23, 2017

What you need to know: the new fit & proper requirements in SM&CR

The FCA’s proposed extension to the Senior Managers and Certification Regime aims to bring all FCA regulated firms under a single regime,...

Victoria Bell

Nov 14, 2017

Staff Incentives and Remuneration for Consumer Credit Firms: A Quick Guide to the FCA's consulta

Keeping abreast of regulatory changes is vital for consumer credit firms, and can be particularly helpful for firms wishing to gain FCA...

Victoria Bell

Oct 18, 2017

After you've gained FCA Authorisation - What to consider next?

Gaining FCA authorisation is a vital step for consumer credit firms. However, once you have completed the journey to authorisation, it’s...

Victoria Bell

Oct 3, 2017

10 Steps to FCA Authorisation

The prospect of preparing and submitting an FCA application and the numerous challenges this poses can be overwhelming and things can...

Matthew Mason

Sep 28, 2017

FCA Authorisation for Consumer Credit Firms - A Guide

Authorisation is the cornerstone of the Financial Conduct Authority’s (FCA) regulatory regime. When you apply for authorisation you will...

Robert Bell

Sep 21, 2017

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