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How Hard do we try to be Inclusive?
September 2023 has been a busy month for the diversity, equality and inclusion discussion. We have seen the publication of the long awaited FCA consultation paper CP23/20 Diversity and inclusion in the financial sector – working together to drive change
Product Governance
The FCA has commenced a second wave of product oversight and governance thematic review work, to understand whether the product reviews, including fair value assessments and product distribution reviews are being undertaken in line with the FCA’s expectations…
FCA reporting for insurance intermediaries – an update
In days past, the only regular report to the FCA for an insurance intermediary was its RMAR, which was either half-yearly or quarterly depending on the firm’s regulated business revenue. There is now a myriad of FCA reporting and notifications, which have…
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…
