FCA's Recent Discussion Paper on a Potential 'Duty of Care'
In July of this year, the Financial Conduct Authority (FCA) published a Discussion Paper on a potential ‘Duty of Care’, which some of the...
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Victoria Bell
Nov 7, 2018
Solo-Regulated Firms and The Senior Managers & Certification Regime
The Senior Managers & Certification Regime (SM&CR) is due for implementation in solo-regulated firms on 9 December 2019. With 2019 just...
Victoria Bell
Oct 25, 2018
Insurance Firms and The Duty of Responsibility Under SM&CR
With the commencement date looming, insurance firms should be well within the final stretch of their preparation for the new Senior...
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...
Robert Bell
Sep 26, 2018
What Insurance Firms Need to Know About the Incoming SM&CR
Insurance firms are gearing up for the implementation of the Senior Managers and Certification Regime on 10 December this year. The SM&CR...
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
Aug 1, 2018
Preparing for the Senior Managers and Certification Regime
The FCA have now published the ‘near-final’ draft rules for the Senior Managers and Certification Regime (SM&CR), which currently only...
Victoria Bell
Apr 18, 2018
FCA's Final Guidance and Rules on Staff Incentives and Remuneration in Consumer Credit
The Financial Conduct Authority (FCA) have published the final rules and guidance relating to staff incentives, remuneration and...
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 18, 2018
Regulatory Horizon for 2018
2018 promises to be a bumper year for compliance. I can hear what you are thinking, you’ll be muttering, “Isn’t it always?” Seriously,...
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...
Victoria Bell
Dec 19, 2017
Transitioning FCA firms and individuals to the Senior Managers & Certification Regime: Important
The Financial Conduct Authority (FCA) have published a package of proposals outlining their proposed transitional arrangements for...
Victoria Bell
Dec 12, 2017
Christmas bonus? Don’t fall foul of the remuneration changes
Incentivising staff through bonuses and other remuneration schemes is a common practice for many firms in the sector who want to...
Robert Bell
Dec 5, 2017
Why Consumer Credit Firms Need to Audit Their Staff Incentive Schemes
The FCA’s consultation on staff incentives - covering remuneration, incentive schemes and performance management – in consumer credit...
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 21, 2017
FCA's Proposed New 'Creditworthiness' Rules: What You Need To Know
With Q4 well under way, it’s a good idea to have any upcoming FCA policy statements at the forefront of your planning for 2018. Consumer...
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,...
Robert Bell
Nov 7, 2017
What's on the Regulatory Horizon?
Your horizon scanning has never been as important as it is right now, a time when we have significant and numerous regulatory changes...
Robert Bell
Nov 1, 2017
The FCA's take on your Christmas Bonus
As we enter into November it is probably the time of year you are planning your team’s Christmas bonus. You may decide to pay your bonus...
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