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,...
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Robert Bell
May 1, 2019
Senior Managers & Certification Regime: Conduct Rules Implementation
With summer just around the corner, December may feel like a long way off. But there are only seven months to go until the Senior...
Victoria Bell
Apr 16, 2019
Statement of Responsibilities & Prescribed Responsibilities Under SMCR
This week we’re going to take a look at the content of Statements of Responsibilities (SoRs), – the document outlining the...
Robert Bell
Apr 9, 2019
Financial Services Regulation Round-Up - March 2019
As always, we aim to keep you right up to date with all matters to do with financial services compliance, as such we have produced a...
Robert Bell
Apr 2, 2019
Regulatory Horizon for 2019
In this article, we’ll take a look ahead at the upcoming regulatory changes over the next nine months of 2019. In the last two years,...
Robert Bell
Mar 19, 2019
What is required in a Statement of Responsibility under SM&CR?
The new Senior Managers and Certification Regime is designed to encourage accountability within firms, aiming to prevent misconduct by...
Victoria Bell
Mar 13, 2019
Dispute Resolution: Complaints in the FCA Handbook (DISP)
Following on from last week’s look at CONC, this week we’re going to examine DISP, the section of the FCA Handbook that sets out how...
Robert Bell
Mar 7, 2019
Often Overlooked Key Areas of the Consumer Credit Sourcebook (CONC)
Although many of us feel confident we know the FCA’s Consumer Credit Sourcebook (CONC) inside and out, even I, as somebody who covers it...
Robert Bell
Mar 5, 2019
FCA Publishes New Rules for Buy Now Pay Later (BNPL) Deals
The Financial Conduct Authority (FCA) have published initial feedback and guidance in relation to Buy Now Pay Later (BNPL) deals, which...
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
Feb 19, 2019
How Non-Executive Directors Will Be Affected By The SM&CR
This week we’re going to take a look at how Non-Executive Directors will be affected by the implementation of the Senior Managers and...
Robert Bell
Feb 5, 2019
Reporting Requirements under the Senior Managers & Certification Regime SM&CR
With the commencement of the Senior Managers and Certification Regime (SM&CR) slowly creeping closer we will be helping you to gradually...
Victoria Bell
Jan 30, 2019
Fit and Proper Requirement of SM&CR - What does this mean?
Solo-regulated firms that will be within the scope of the Senior Managers and Certification Regime from the end of this year should...
Robert Bell
Jan 15, 2019
The Senior Managers & Certification Regime (SM&CR) – Plan your 2019
This is the year that the Senior Managers & Certification Regime (SM&CR) comes into force for solo-regulated firms (i.e. firms regulated...
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
Jan 2, 2019
Senior Managers & Certification Regime for insurance firms – What now?
As of the 10th December, insurance firms are now subject to the Senior Managers and Certification Regime. So as an insurance firm what...
Victoria Bell
Dec 18, 2018
The FCA announce radical changes to overdraft fees
The FCA have announced a proposal to make radical changes to the way banks can impose charges for unarranged overdraft fees. Their...
Victoria Bell
Dec 11, 2018
The CONC Sourcebook: An Overview
With the introduction of GDPR and next year’s roll-out of the Senior Managers and Certification Regime impacting upon the consumer credit...
Robert Bell
Dec 4, 2018
What Conduct Rules training is required under SM&CR?
With next week marking one year until the roll-out of the Senior Managers and Certification Regime to solo-regulated firms, all affected...
Victoria Bell
Nov 27, 2018
What are Prescribed Responsibilities under the Senior Managers & Certification Regime (SM&CR
The Senior Managers and Certification Regime is due to commence on 9 December 2019 for solo-regulated firms, and on 10 December 2018 for...
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