top of page
Follow Us
Compliance Insights Articles
Search
Robert Bell
Feb 8, 2024
FCA Applications: Avoid the Pitfalls
“We are being tougher on firms who want authorisation to operate in the UK,” is a quote from the FCA’s CEO, Nikhil Rathi, from the...
Robert Bell
Jan 31, 2022
Funeral Plan Providers: New FCA Regulations
Funeral Plan providers have just six months to prepare before the Financial Conduct Authority takes over regulation of the sector. A new...
Robert Bell
Jan 26, 2022
Appointed Representatives Consultation
The Financial Conduct Authority has published a consultation on proposed changes to the Appointed Representatives Regime. The...
Robert Bell
Apr 14, 2021
Upcoming FCA Regulation of Pre-Paid Funeral Plans
With a recent substantial rise in funeral costs, the Government’s new legislation will bring pre-paid funeral plans under the regulation...
Victoria Bell
May 22, 2019
The FCA Reveals Project Innovate has Benefitted Almost 700 Firms
The Financial Conduct Authority have revealed that almost 700 firms have benefitted from support provided by their innovation programme,...
Robert Bell
Feb 27, 2019
FCA Authorisation Application in 5 Steps
Most financial service providers and consumer credit firms must be authorised by the Financial Conduct Authority in order to operate and...
Victoria Bell
Jan 8, 2019
FCA Temporary Permission Registration for Claims Management Firms
Claims Management Firms are now able to register for temporary permission with the Financial Conduct Authority. From April 2019, the FCA...
Robert Bell
Oct 9, 2018
How Claims Management Companies Need to Apply for FCA Authorisation & Implications of SM&CR
The regulation of Claims Management Companies (CMCs) within England, Scotland and Wales is due to change in 2019, with the Financial...
Victoria Bell
Sep 5, 2018
Claims Management Companies and Upcoming FCA Regulation
Following the Brady Review, commissioned in 2015 to examine the nature of issues in the claims management market, the government has...
Victoria Bell
Feb 7, 2018
The FCA's Approach to Authorisation - A New Consultation
The FCA has recently published a new consultation on their approach to authorisation seeking to ensure that their overall approach to...
Robert Bell
Jan 10, 2018
4 Steps to Effective Auditing
The serious repercussions of a lack of compliance controls really came to our attention in 2017. With the Grenfell Tower tragedy and a...
Victoria Bell
Jan 3, 2018
Is your firm exempt from FCA authorisation under the Financial Services and Markets Act 2000 (Miscel
While most firms need either limited or full permission in order to be able to carry out regulated consumer credit activities, there are...
Robert Bell
Nov 23, 2017
Limited or Full Permission - What you need to know to apply for FCA authorisation
Taking the first steps towards authorisation with the FCA can seem daunting; the latest in our series on FCA compliance is aimed at...
Victoria Bell
Nov 14, 2017
What you need to know: the new fit & proper requirements in SM&CR
The FCA’s proposed extension to the Senior Managers and Certification Regime aims to bring all FCA regulated firms under a single regime,...
Victoria Bell
Oct 18, 2017
Staff Incentives and Remuneration for Consumer Credit Firms: A Quick Guide to the FCA's consulta
Keeping abreast of regulatory changes is vital for consumer credit firms, and can be particularly helpful for firms wishing to gain FCA...
Victoria Bell
Oct 3, 2017
After you've gained FCA Authorisation - What to consider next?
Gaining FCA authorisation is a vital step for consumer credit firms. However, once you have completed the journey to authorisation, it’s...
Matthew Mason
Sep 28, 2017
10 Steps to FCA Authorisation
The prospect of preparing and submitting an FCA application and the numerous challenges this poses can be overwhelming and things can...
Robert Bell
Sep 21, 2017
FCA Authorisation for Consumer Credit Firms - A Guide
Authorisation is the cornerstone of the Financial Conduct Authority’s (FCA) regulatory regime. When you apply for authorisation you will...
Compliance Insights Newsletter
The Email Newsletter for Compliance Professionals. Sign up to get regular compliance advice, news and updates delivered straight into your inbox. Designed to help you keep your finger on the pulse on the latest developments in compliance and it’s FREE.
bottom of page