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...
Appointed Representatives (ARs) are not regulated by the FCA, so it is Principal Firms’ responsibility to ensure that their ARs comply with the rules. The FCA has said that, whilst some Principal Firms do this effectively, many do not have adequate oversight of their...
Today the FCA has published a Consumer Duty press release, the much anticipated Policy Statement PS22/9 and final Guidance FG22/5 on it’s website. The Consumer Duty sets higher and more defined standards of consumer protection across financial services sectors and...
The FCA has published the 2022/23 periodic regulatory fees and levies for the FCA, FOS, the Money and Pensions Service (referred to in the FEES manual as the Single Financial Guidance Body – SFGB), devolved authorities, and the Treasury’s expenses in funding the teams...
The FCA has published its final 2021/22 regulated fees and levies information. All fee-payers will be affected by this Policy Statement. Firms can use the online fees calculator to calculate their individual fees based on the final rates in the Policy Statement. This...
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