E-Learning Login
Compliance Portal
PRA discussion paper DP2/23 "FSCS General Insurance Limit"
The Prudential Regulation Authority (PRA) has published a Discussion paper DP2/23 about the FSCS general insurance limit. This DP seeks feedback on whether it would be appropriate to increase FSCS limits for some or all of the General Insurance areas currently…
FCA writes to Principal firms about overseas Appointed Representatives
The FCA has been undertaking increased engagement with Principal firms as part of its three-year strategy to improve the oversight of ARs. The FCA’s Consultation Paper CP21/34 and Policy Statement PS22/11 set out some of the challenges Principals may face in…
ICO publishes guidance to ensure lawful workplace monitoring
The Information Commissioner’s Office (ICO) is calling on organisations to consider both their legal obligations and their workers’ rights before they implement any monitoring in the workplace. With the rise of remote working and developments in the…
FCA reminds firms about ICO guidance in relation to direct marketing and regulatory communications
The FCA has updated its ‘Consumer Duty – information for firms’ page to remind firms about data protection law and customer communications. Under the Consumer Understanding outcome, the FCA expects consumers to be given the information they need, at the right…
FCA confirms the move to seven-digit firm reference numbers (FRNS) and product reference numbers (PRNS)
The FCA announced in June last year that it would eventually be moving to seven-digit Firm Reference Numbers (FRNs) and Product Reference Numbers (PRNs). In early July the FCA informed the Association of Professional Compliance Consultants (APCC) that it…
FCA writes to and provides an update for Principal firms about the inclusion of their ARs in their PII cover
The FCA has written to Principal firms by e-mail in relation to their PII cover, setting out its requirements for the inclusion of a Principal firm’s ARs within the PII contract terms. The FCA confirms that it has increased its engagement with Principal firms…
