FCA refuses authorisation application

FCA refuses authorisation application

The FCA has refused to authorise a regulatory consulting business to provide regulatory hosting services for Appointed Representatives.  The Final Notice published by the FCA sets out the detail behind the reasons for the authorisation refusal. The FCA stated in the...
FCA publishes 2022/23 Business Plan

FCA publishes 2022/23 Business Plan

Nikhil Rathi, the FCA CEO, has announced the publication of the FCA Business Plan 2022/23, continuing to set out the re-shaping and transformation of the FCA in what is his second FCA Business Plan. This has been issued alongside a new three-year Strategy document,...
Tailoring FOS and FSCS income in RMA-J – a reminder

Tailoring FOS and FSCS income in RMA-J – a reminder

In our latest Bulletin (336), we set out a reminder in relation to tailoring the income figures for FOS and FSCS in section J of your year-end RMAR (RMA-J).  This is something that we are asked about regularly, particularly at this time of year when many firms’...
FCA Senior Manager Attestation

FCA Senior Manager Attestation

In PS21/5 the FCA confirmed Senior Managers must attest annually that their firm has complied with  General Insurance (GI) Pricing Practices rules found in ICOBS 6B. A survey, together with covering letter, was sent out in January to premium finance providers and...

UKGI is a trading style of UKGI Limited and UKGI Services Limited which are wholly owned subsidiaries within UKGI Group Ltd. UKGI Limited acts in compliance services and UKGI Services Limited acts in support services. UKGI Services Limited is a wholly owned subsidiary of Total Broker Solutions Limited, which is an appointed representative of Resolution Compliance Limited, which is authorised and regulated by the Financial Conduct Authority (FCA) under reference number 421154. UKGI Limited Registered in England No. 03544014. UKGI Services Limited registered in England No. 04953835. All Registered Offices Number 22 Mount Ephraim, Tunbridge Wells, England TN4 8AS. VAT registration number 347 2664 82.