What are the regulatory risks attached to handling client money? Bruce Fayle explains.
Coronavirus – Guidance for Employers
As the situation continues to change rapidly, employers are likely to have many questions about what they need to do regarding the coronavirus outbreak. Here’s a breakdown of the latest guidance for employers.
Identifying Key Workers in Financial Services
The FCA has set out the steps firms should take to help identify key workers in financial services.
FCA Warning on Avoiding Coronavirus Scams
The FCA has issued a warning on potential coronavirus scams that may emerge over the coming months. Here’s what to look out for and how to protect yourself.
Delayed FCA Consultation Papers and Publications
In light of the ongoing coronavirus crisis, the FCA has taken action to extend the closing date for responses to its open consultation papers and Calls for Input until 1 October 2020.
FCA Publishes Information for Firms on Coronavirus Response
The FCA has provided information for firms on its response to the coronavirus outbreak.
RWA Service Update
We would like to reassure our clients that RWA is continuing to operate and will support your business throughout the uncertainty of the coronavirus outbreak. Please read the following important update which explains the actions we have put in place to ensure we can continue to support you.
FCA Makes Speech on Treating Vulnerable Customers Fairly
The FCA has outlined its approach to ensuring firms treat vulnerable customers fairly. Ahead of the publication of the regulator’s new guidance on vulnerability, what should financial services firms be considering?
Delegation and the Conduct Rules
Under SM&CR, Senior Managers must ensure that, where they delegate their responsibilities, this is to an appropriate person and that they oversee this effectively. What does responsible and effective delegation look like in practice?