The FCA and the PRA have both published their Consultation Papers on Diversity and Inclusion in the Financial Sector. The FCA’s Consultation closes on 18th December 2023 with a Policy Statement expected in 2024, and implementation 12 months after that. In its...
The FCA has updated its ‘Consumer Duty – information for firms’ page to remind firms about data protection law and customer communications. Under the Consumer Understanding outcome, the FCA expects consumers to be given the information they need, at the right time,...
The FCA announced in June last year that it would eventually be moving to seven-digit Firm Reference Numbers (FRNs) and Product Reference Numbers (PRNs). In early July the FCA informed the Association of Professional Compliance Consultants (APCC) that it would likely...
The FCA has commenced a second wave of product oversight and governance thematic review work, to understand whether the product reviews, including fair value assessments and product distribution reviews are being undertaken in line with the FCA’s expectations as set...
The FCA has written to Principal firms by e-mail in relation to their PII cover, setting out its requirements for the inclusion of a Principal firm’s ARs within the PII contract terms. The FCA confirms that it has increased its engagement with Principal firms and is...
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