HM Treasury has issued new guidance on what UK firms need to do to ensure continued legal data flows between themselves and other organisations in the EU/EEA after the end of the Brexit transition period. The guidance is specifically relevant to firms who operate in...
The FCA has stressed that firms must ensure their staff have been adequately trained by 31 March next year on how the incoming SM&CR rules apply specifically to their daily roles. A newly released explainer video on the FCA’s website outlines what’s expected of...
The FCA has published an exchange of correspondence between itself and the Financial Ombudsman Service (FOS) which sheds some light on the question of what allowances each intends making for the exceptional circumstances faced by many regulated firms in recent times....
The FCA has been singing the praises of its new data collection platform RegData, which it says is faster, easier to use, and based on more flexible technology than the outgoing Gabriel platform. The regulator is currently moving 120,000 users and 52,000 firms’ data...
The FCA has issued a Dear CEO letter setting out its views on the key potential risks of harm posed to customers by firms operating in the Lloyd’s and London market (LLM). The letter issued on 23 November also outlines what strategies and actions the regulator expects...
One of the many services we offer at UKGI is helping insurance firms set up and monitor a network of Appointed Representatives (ARs). We can carry out fit and proper checks on prospective ARs and Approved Persons, develop internal compliance manuals and procedures,...
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