Whistleblowing Quarterly Data 2024 Q4: A comprehensive overview and how your business can stay ahead
The FCA has recently released its whistleblowing data for the third quarter of 2024, providing valuable insights into the nature and volume of whistleblowing reports received between July and September. […]
FCA Temporary Registration Regime extended for cryptoasset businesses
Pension Switching and DB Pension Transfers
Defined benefit pension transfers (DB Pension Transfers) have been the focus of the FCA’s attention for many years with regular suitability reviews since 2015. Its findings from these reviews suggest […]
Webinar Title: Regulation in the Insurance Industry: Looking ahead to 2021 Aim of the Webinar 2020 was a year that demanded seismic shifts in the way organisations conducted their […]
The FCA’s COVID-19 business interruption insurance test case
In May 2020, the Financial Conduct Authority (FCA), acting in the public interest, decided to bring a test case to resolve any contractual uncertainty arising from selected Business Interruption (BI) […]
FCA Capital Adequacy Guidance for Solo Regulated Firms
The FCA issued a statement warning that firms must plan ahead and ensure sound management of their financial resources in the face of the threats from Coronavirus. Whilst the FCA […]
Penny Woollacott
ESMA Temporary Permissions Regime
ESMA has updated its Q&As in this area and has included a new section relating to the prominence of risk warnings. Guidance given by ESMA states that “The risk warning […]
Link
link
The FCA Hot Topic: Suitability in Wealth Management
FCA stresses the actions they are and will be taking on suitability issues.