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FCA publishes Finalised Guidance about the treatment of PEPs
The FCA has published its Finalised Guidance for firms on how to apply a proportionate and risk-based approach to UK politically exposed persons (PEPs), and their relatives and close associates (RCAs), for anti-money laundering purposes. A PEP is someone…
FCA publishes Consultation Paper on tackling non-financial misconduct in financial services
In stating that bullying and harassment in financial firms qualify as misconduct, the FCA has clarified its expectations in relation to bullying, harassment and violence in financial services firms by publishing a Consultation Paper on tackling non-financial…
Advertising Standards Authority publishes its commitment to protecting vulnerable consumers
The ASA has stated that it “…will put people first and prioritise protecting vulnerable people…” in announcing its commitment to protecting vulnerable customers. The first strand of its latest strategy, AI-Assisted Collective Ad Regulation, sets a clear…
FCA Consultation CP25/12: Simplifying the insurance rules
The FCA has announced that it will simplify its insurance rules, publishing Consultation Paper CP25/12. The Regulator plans to strip outdated or duplicated requirements from its insurance rulebook, having asked what improvements it could make.
CII sets out vision for vulnerability data sharing
The CII has outlined a vision for transforming how vulnerability data is shared across the insurance and personal finance distribution chain to meet the Financial Conduct Authority’s (FCA) requirements. In a new report summarising a recent roundtable held in…
FCA updates its ‘Keeping your firm's information up to date’ web page
The FCA has updated and refreshed the content of its ‘Keeping your firm’s information up to date’ web page. As a useful reminder, this page outlines what firms need to do to ensure that their details are correct on the Financial Services Register, and reminds…
