The FCA’s Updates on Consumer Duty Implementation
July 10, 2024In less than one month, the Consumer Duty will also apply to closed products and services, which were sold before…Case study – FCA authorisation application
June 14, 2024Only firms that are authorised (or exempt from the need for authorisation) can carry on a regulated activity in the…FCA publishes further guidance for firms selling client banks
April 16, 2024The FCA has found evidence that in a small number of cases, firms have sold a client bank where they…Navigating FCA Regulatory Business Plans
November 23, 2023Compliance with regulatory standards is a key legal requirement for financial services businesses.Dear CEO: FCA’s new warning
November 22, 2023The FCA has called for firms to pay attention to all of their regulatory obligations, such as those concerning financial…Diversity and Inclusion in the Financial Sector
October 10, 2023The Financial Conduct Authority have made it clear that diversity and inclusion (D&I) is essential for a healthy firm culture.Essential legal protections for FCA-regulated businesses
October 9, 2023Contracts serve as the cornerstone of professional relationships, outlining obligations, responsibilities and expectations between the parties.The Fit and Proper Test – What does it mean?
March 22, 2023As part of the SM&CR, senior members and certification regime staff must meet the required standards of fitness and propriety…Changes to the FCA’s Appointed Representative Regime
January 17, 2023On the 8th December 2022, the Financial Conduct Authority (“FCA”) made changes to Chapter 12 of the Supervision Manual (SUP…The New FCA Consumer Duty – How does it impact firms?
September 14, 2022In July 2022, the Financial Conduct Authority (FCA) published its final policy, rules and guidance on the new Consumer Duty.