Regulatory Updates

FCA reporting and other key report requirements for insurance intermediaries – an update

27 Dec 2023 - Hot TopICS

As 2023 draws to a close, we’re providing a further reminder of the FCA reporting that firms will need to include in their Compliance Monitoring Plans for 2024, along with some other key deadlines. There is now a growing list of FCA reporting and notification…

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The FCA’s new Appointed Representative (AR) regime - a reminder - AR reviews and annual self-assessments

21 Dec 2023 - Hot TopICS

Following the introduction of the new Appointed Representatives regime in December 2022, Principal firms have an obligation, at least annually, to review their ARs and to complete, review and sign off a self-assessment document. This Hot TopICS looks at those…

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The FCA’s multi-occupancy building insurance reforms and wider changes

12 Dec 2023 - Hot TopICS

The FCA has confirmed new measures to support leaseholders in the multi-occupancy building insurance market. From 31st December 2023 insurance firms must act in residential leaseholders’ best interests, treat residential leaseholders as customers when…

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FCA confirms a new 'Anti-Greenwashing' rule impacting all firms

5 Dec 2023 - In The News

The FCA has published new Rules and Guidance in relation to sustainability disclosures in a Policy Statement PS23/16 which, although aimed at the investment sector, include a specific Rule that captures all firms. The aim of the measures introduced is to…

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FCA publishes an updated to the regulatory initiatives grid

1 Dec 2023 - In The News

The Regulatory Initiatives Grid, from the Financial Services Regulatory Initiatives Forum, sets out the regulatory pipeline. It is published so the financial services industry and other stakeholders can understand and plan for the timing of the initiatives…

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FCA publishes its fees and levies consultation for 2024/25 - FOS fees alert

28 Nov 2023 - In The News

The FCA has published its plans for how it will raise fees for 2024/25, which represent a consultation on the underlying principles of the fee system and policy changes to the way in which the FCA will raise fees. Each chapter in the Consultation Paper…

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