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What’s coming up in 2020 from the FCA?
As we get stuck into 2020, let's take a look at what’s coming up from the FCA. Dear CEO Letter – Non-Financial Misconduct The Senior...
Robert Bell
Jan 20, 2020
What does the FCA's Systems and Controls Sourcebook (SYSC) mean for firms and Senior Managers?
The past two years have brought a whirlwind of new regulatory requirements, guidance and legislation that financial services firms have...
Robert Bell
Jan 8, 2020
FCA's Priority of Operational Resilience - What Does That Mean For Your Firm?
High on the FCA’s cross-sector priorities for 2019/20 is ‘operational resilience’. The Regulator has recently turned its attention to...
Victoria Bell
Dec 11, 2019
Final Stage Troubleshooting for SM&CR
With just over two weeks to go until commencement, solo-regulated firms should be finalising their preparations for the start of the...
Robert Bell
Nov 19, 2019
Final preparations for the Senior Managers and Certification Regime
Aiming to strengthen accountability and responsibility in financial services, the Senior Managers and Certification Regime will complete...
Robert Bell
Nov 12, 2019
What Senior Managers Need to Be Doing Now for the SM&CR
As solo-regulated firms are preparing to leave behind the Approved Persons Regime and implement the Senior Managers and Certification...
Robert Bell
Oct 31, 2019
GDPR Considerations For Handling Vulnerable Customer Personal Data
With the FCA’s Vulnerability Consultation, in addition to recent media focus on mental health, it’s clear that firms are taking this as...
Robert Bell
Oct 17, 2019
The FCA Are Reviewing Outsourcing as Part of Its Business Plan 18/19
As part of the FCA Business Plan 18/19 the FCA are currently reviewing arrangements that firms have in place when outsourcing. They...
Robert Bell
Sep 30, 2019
Winter is Coming – and so are the Conduct Rules
This winter sees the introduction of the conduct rules for solo-regulated firms, insurance firms and banking are already complying with...
Robert Bell
Sep 19, 2019
What's on the FCA's Regulatory Horizon for 2019 - 2020?
The FCA’S 2019/20 business plan sets out upcoming regulatory changes over the next 10 months, as well as giving an indication of what is...
Robert Bell
Aug 27, 2019
The Importance of Being Ahead of the Curve - Vulnerability
Clearly, vulnerability is becoming a central issue in society, as can be seen by the increase in the usage of the word over time. The...
Robert Bell
Aug 21, 2019
The Requirements of the Senior Managers & Certification Regime - A Reminder
The Financial Conduct Authority have recently published a stocktake report of the Senior Managers & Certification Regime in the banking...
Robert Bell
Aug 13, 2019
Allocating Prescribed Responsibilities Under SM&CR
Under the incoming Senior Managers and Certification Regime, Core and Enhanced firms will have to allocate Prescribed Responsibilities to...
Victoria Bell
Jul 23, 2019
FCA Buy Now Pay Later Policy Statement
The FCA published its Policy Statement on Buy Now Pay Later (BNPL) offers on 12 June 2019. This publication summarises the feedback to...
Victoria Bell
Jul 16, 2019
Payment Services Directive 2 – What it means for Debt Collection Firms
At a high level PSD2 aims to: contribute to a more integrated and efficient European payments market improve the level playing field for...
Robert Bell
Jul 16, 2019
SM&CR Conduct Rules Training Requirements
For solo-regulated firms the commencement of SM&CR is fast approaching, and 9th December will be here before we know it. Most firms will...
Robert Bell
Jul 11, 2019
Fair Treatment of Existing Customers According to the CMA's Findings
Following the Competition and Markets Authority’s response to the super-complaint submitted by Citizens Advice, the Financial Conduct...
Robert Bell
Jul 2, 2019
The FCA Tackles Overdraft Charges
Having already taken action in the payday market, followed by the rent to own and motor finance sectors the FCA’s next target is bank...
Robert Bell
Jun 17, 2019
Key Provisions for Consumer Credit Firms in the Consumer Credit Sourcebook (CONC)
To celebrate the launch of our CONC Guide, an easy to understand overview of CONC, I thought it would be useful to produce an overview of...
Robert Bell
Jun 4, 2019
4 Main Drivers of a Healthy Culture in Financial Services Firms
Last month, the Financial Conduct Authority published its 2019/20 business plan, setting out the regulator’s priorities for meeting its...
Robert Bell
May 29, 2019
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