The FCA has written a Dear CEO letter to certain firms (‘Annex 1 firms’ – which are firms carrying on the activities noted on page 88 of 99 in this document), which are subject to the Money Laundering Regulations (the MLRs). The Dear CEO letter relates to common...
The FCA has published a web page effectively linking the House of Commons Treasury Committee’s ‘Sexism in the City’ report to its Consultation aimed at boosting diversity and inclusion in financial services. The page, not published alongside any other resource,...
Although the FCA has now published Sheldon Mills’ recent speech, delivered at a KPMG Consumer Duty event, there was also a panel session with Mills and KPMG, as well as a Q&A session. Much of the speech focussed on the forthcoming 31st July Consumer Duty deadline...
The FCA wants to change how it publicises its enforcement investigations to increase the transparency of its enforcement work and its deterrent effect, and to disseminate best practice. Following a review, it also wants to change its Enforcement Guide to reduce...
The FCA has published a new page on its website providing guidance about preparing your firm’s wind-down plan. Wind-down plans help firms exit the market in an orderly manner if their business is no longer viable. The web page makes reference to the Wind Down...
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