The FCA has published its 26th May 2022 Board meeting minutes, which cover a number of issues including the Consumer Duty, the Regulatory D&I Framework, and the FCA’s Freedom of Information Act (FOI) and Subject Access Request (SAR) pressures. The Consumer Duty...
Back in July, the FCA issued a consultation paper on proposed changes to its decision-making process that would enable it to make faster and more effective decisions on firms that fail to meet its required regulatory standards. The FCA has now confirmed the changes...
The FCA has published the fourth edition of its plan for upcoming work – a key indicator of where the FCA’s attention is going to be focussed across the next two years. An updated Grid is published twice a year and, at 45 pages, this is again a detailed...
The FCA has started to issue, to a large sample of Principal firms, its detailed and lengthy survey questionnaire about ARs and IARs. The sample includes firms with just one AR and firms with just IARs. The issue of the survey is in line with the FCA’s stated...
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...
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