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Diversity and Inclusion in the Financial Sector – what is the FCA expecting of ‘small firms’?
A lack of diversity in financial services was highlighted as a factor in the 2008 financial crisis. Looking at risk management outcomes, studies that compared the outcomes between diverse and non-diverse Boards following the crisis found that businesses with…
Training and Competence (T&C) in 2024 – challenges, considerations, and the value of training
With the current FCA focus on value in insurance, firms could take an opportunity to use an appropriately ‘value’-focused 2024 T&C plan to help demonstrate their overall value proposition.
FCA reporting and other key report requirements for insurance intermediaries – an update
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…
The FCA’s new Appointed Representative (AR) regime - a reminder - AR reviews and annual self-assessments
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…
The FCA’s multi-occupancy building insurance reforms and wider changes
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…
Financial resilience and resilience reporting – why, what, and what next?
Financial resilience is the ability of an organisation to withstand events that affect its capital structure, liquidity, revenue and assets, and is a measure of how robust a financial plan is to shocks. Without it, operational and reputational resilience…
