FCA Consultation on extending implementation deadlines for the Certification Regime and the Conduct Rules
The FCA is consulting on extending the deadlines by which FCA solo-regulated firms must have first assessed the fitness and propriety of their Certified Staff and for training staff in […]
New guidance to help firms do more for vulnerable consumers
The FCA has set out new best practice guidance for firms to do more to protect vulnerable consumers. More than 24 million people display one or more potential characteristics of vulnerability – […]
FCA seeks industry views on a new prudential regime for UK investment firms
The FCA published a discussion paper on a prudential regime for UK investment firms. The discussion paper sets out the technical details and the FCA’s views on the Investment Firm Directive (“IFD”) […]
Consultation on the Regulatory Framework for Approval of Financial Promotions
The current requirement for an authorised firm to approve the financial promotion of an unauthorised firm may not operate as a strong enough safeguard to ensure such financial promotions are […]
FCA Dear CEO Letter: Inappropriate use of title transfer collateral arrangements and regulatory permissions for financing transactions
The FCA published a Dear CEO letter to authorised firms acting as brokers in wholesale financial markets, who currently, or may in the future, offer services (including clearing broker and prime broker […]