The FCA is undertaking work which includes greater scrutiny of firms as they appoint Appointed Representatives (ARs).
FCA Publishes Latest Complaints Data
The FCA has released its complaints data for the period H1 2021.
Conduct Rules Training – Understanding the Requirements
The Conduct Rules apply to almost all staff who carry out financial services roles within a firm. Is your firm aware of the training requirements?
Celebrating 1 Million Open Badges
We’ve recently reached an exciting milestone on the Aviva Development Zone – in October 2021, we issued our one millionth Open Badge, representing one million successful course completions since the platform was launched.
CPD – Going Beyond the Minimum
Undertaking CPD allows individuals to better understand any changes in their industry and to maintain the necessary skills and knowledge to keep up to speed with their peers. This article looks at the benefits of a positive approach to CPD.
FCA Publishes its Perimeter Report 2020/21
The FCA has published its Perimeter Report for the period 2020/2021. In it, the regulator has called for ‘legislative change to address concerns beyond its remit’.
FCA Issues ‘Dear CEO’ Letter on Product Governance Rules
The FCA has issued a ‘Dear CEO’ letter expressing concerns that some firms have failed to understand the impact of the enhanced product governance rules on their business.
FCA Publishes Financial Promotions Data for Q3 2021
The FCA has published its quarterly data which reveals the number of financial promotions that have been amended or withdrawn due to non-compliance with its rules.
FCA Publishes its Expectations for Remote or Hybrid Working
The FCA has published its expectations of firms working remotely or with hybrid working models so that they can continue to meet their regulatory responsibilities.