FCA IFPR Newsletter – What to Expect
The FCA are intensifying their preparations for the launch of the IFPR regime in January 2022. It is critical that firms take the appropriate steps to be ready for the […]
FCA Dear CEO letter – Wealth Management and Stockbroking Supervision Strategy
The FCA has recently published a Dear CEO letter providing an update of its view of the key harms faced by the financial services industry, their expectations from firms and […]
The UK’s new authorised open-ended fund: the Long-Term Asset Fund (LTAF)
In October, the FCA published its Policy Statement ‘PS21/14: A new authorised fund regime for investing in long term assets’, which provides feedback to the May 2021 consultation, setting out […]
Appointed Representative and Principal Regime Review
Review of the use of the Appointed Representatives’ (AR) regime is a priority for the FCA. The FCA has noticed an increased level of harm across all the sectors where […]
FCA IFPR Questionnaire – What to expect?
The introduction of the IFPR regime is fast approaching (January 2022), and the FCA are taking steps to contact firms in preparation of launch. The FCA will shortly be sending […]
Introductory Breakdown to the Pandora Papers
What are the Pandora Papers? The Pandora Papers is the largest investigation in journalism history, led by the International Consortium of Investigative Journalists (ICIJ), with the leak of around 12 […]
Key Changes in Anti-Money Laundering and Terrorist Financing Regulations
There has been significant movement in Anti-Money Laundering (AML) and Terrorist Financing regulation over recent months. A Dear CEO letter in May 2021, issued by the FCA to retail banks, […]
Complyport welcomes its Graduate Training Programme September 2021 cohort
Following the success of Complyport’s Graduate Training Programme 2020, we are excited to welcome our new graduate consultants for 2021. Simon Chapman, Associate Director, and Peter Wilson, Manager, as well […]
Complyport Vulnerable Customers Webinar Recording and Slides
Complyport is pleased to have presented our webinar ‘Implementing Vulnerable Customers policies and processes that work’, held on 2 August 2021. This webinar was presented in collaboration with the London […]
FCA fines LBGI £90 million for failures in communications for home insurance renewals between 2009 and 2017
The FCA has fined LBGI (Lloyds Bank General Insurance Limited, St Andrew’s Insurance Plc, Lloyds Bank Insurance Services Limited and Halifax General Insurance Services Limited) £90,688,400 for failing to ensure […]