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FCA publishes its 2023/24 business plan
Although the FCA published a three-year Strategy last year, it also published the usual 12-month Business Plan, and has done so again this year. Within the Business Plan 2023/24 the FCA has set out an ambitious programme for the next 12 months to achieve…
Regulatory Hosting of Appointed Representatives (ARs)
The FCA’s new Rules for all Principal firms came into force on 8th December 2022. The FCA clarified and strengthened the responsibilities and expectations of Principal firms, and one of the FCA’s organisational commitments is improving Principals’ oversight…
Financial Ombudsman service award limit increases
The FOS award limit is the maximum amount it can require a financial business to pay when it upholds complaints. This limit is adjusted each year in line with inflation, as measured by the Consumer Prices Index (CPI). The FCA has confirmed that, from 1…
FCA launches a call for input in relation to SME access to FOS
The FCA has published a call for input on whether the thresholds for SMEs to be able to refer complaints to FOS remain appropriate. This review seeks to ensure that access to the Ombudsman Service remains available for SMEs that are unlikely to be able to…
Reporting or notifying Close Links changes, and Change in Control (CiC) applications and notifications
This Hot TopICS seeks to provide a high-level reminder of requirements in relation to Close Links notifications and the Change in Control (CiC) process, as these are both areas which prompt regular questions from firms. Unlike changes in control, changes to…
FCA publishes the latest regulatory initiatives grid
The Regulatory Initiatives Grid is updated twice each year by the Financial Services Regulatory Initiatives Forum, which is made up of representatives from the Bank of England, FCA, PRA, Payment Systems Regulator, the Competition and Markets Authority, the…
