E-Learning Login
Compliance Portal
FCA sets out multi-occupancy leasehold insurance reforms
Following on from its report on multi-occupancy buildings insurance, the FCA is proposing new rights and protections for leaseholders to improve the transparency of the multi-occupancy leasehold buildings insurance market.
FCA sets out steps to improve whistleblower confidence
Following a qualitative survey of whistleblowers, and alongside the publication of the latest whistleblowing quarterly data, the FCA has set out actions to improve the confidence of whistleblowers – including sharing further information with whistleblowers on…
FCA consults on its fees and levies proposal for 2023/24
The FCA is consulting on the rates for the regulatory fees and levies for the next financial year (1 April to 31 March). The Consultation Paper (CP 23/7) explains how it proposes to recover the costs of carrying out its work, covering: The FCA’s annual…
FCA and PRA launch a joint Discussion Paper – DP21/3 – a review of the Senior Managers and Certification Regime (SM&CR)
The FCA and PRA are reviewing the effectiveness, scope, and proportionality of the SM&CR, which is the basis for this Discussion Paper. HM Treasury has, in parallel, launched a Call for Evidence to look at the legislative aspects of the regime. The reviews…
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…
