On the 6th February, the FCA sent a letter to wholesale insurers and intermediaries requesting data on incidents of non-financial misconduct and how they are dealt with, and indicated that banks and brokers will be next to be contacted. The survey forms part of the...
The FCA has published its Q4 2022 financial promotions data and an annual financial promotions overview for 2022. The Q4 2022 page analyses the latest data covering 1st October 2022 to 31st December 2022 from the FCA’s action against authorised firms breaching...
The FCA has updated its trading names guidance web page, outlining the appropriate use of trading names, explaining what a firm should and should not do, and reminding firms that they can register a trading name that is different from its Company name. The web page...
Over the past couple of years, the FCA has improved its understanding of the financial resilience of a large number of firms with the collection of data through its Financial Resilience Surveys. As a result, and to enable the FCA to collect the data on an ongoing...
In an update to its web page on Policy Statement 22/11: ‘Improving the Appointed Representatives regime’ the FCA has confirmed it will be issuing Principal firms with a Section 165 request in December 2022. Firms are reminded that Section 165 requests from the FCA are...
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