Following a consultation in August last year the FCA has announced it will be extending the number of firms required to submit an annual financial crime reporting (REP-CRIM) form, from 2,500 to around 7,000. Completed and returned REP-CRIM forms provide the FCA with...
In a speech at the AML & ABC Forum event on 24 March, the FCA’s Mark Stewart stressed the importance of firms having ‘purposeful’ anti-money-laundering controls in place. Detecting and investigating breaches of the AML regulations in SYSC 6.3 and the...
Having worked through the 73 responses to its consultation paper CP19/32 issued late last year, the FCA has published a policy statement, PS21/3, outlining its final rules on building operational resilience, which are due to come into force on 31 March next year....
The FCA has published its latest thinking on Open Finance, taking account of feedback received in response to the Call for Input issued in December last year. The 40-page document responds in detail to some of the key concerns raised, and suggestions made, in 169...
Following implementation of the Senior Managers and Certification Regime, the FCA is showing itself keen to look at senior managers’ non-financial conduct as well as their financial conduct. The FCA recently published a Decision Notice declaring the sole director of...
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