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FCA Principal firms review: embedding the enhanced Appointed Representatives regime
Having tested and reviewed how well Principal firms have embedded the requirements of the enhanced Appointed Representatives (ARs) regime, the FCA has set out good practice and areas for improvement to help Principal firms effectively oversee and monitor their…
FCA publishes a speech: “Vulnerability is not a buzzword”
The FCA has published a speech, delivered by Graeme Reynolds, FCA Director of Competition, at the Personal Investment Management & Financial Advice Association’s (PIFMA) Wealth Vulnerability event. The headlines from the speech included: - The FCA wants…
FCA publishes an interim updated Regulatory Initiatives Grid
The FCA has published an October 2024 interim update to the Regulatory Initiatives Grid (RIG), updating its RIG web page, posting a new interactive web page about the interim update, and publishing a spreadsheet format detailed update. Following the…
FCA publishes a Consumer Duty multi-firm review – Payments firms
The FCA has published a multi-firm review report of Payment firms’ implementation of Consumer Duty, having asked 23 Payment firms in January 2024 how they had implemented the Consumer Duty’s requirements. Although not a sector relevant to our client base,…
Ensuring Fair Product Value with an Insurance Fair Value Assessment
As part of the product approval process, manufacturers (insurers) of insurance products must determine whether the products they bring to the market offer fair value, and perform a fair value assessment. The Financial Conduct Authority (FCA) defines fair value…
FCA Consultation on Consumer Credit Regulatory Returns - CP24/19
The FCA is consulting (CP24/19) on proposals to issue a new regulatory reporting return (CCR009) which will capture firms with a credit broking Permission, and which will also impact firms which carry on the regulated activities of debt adjusting, debt…
