Regulation

The team at RWA has compiled its quarterly review of the FCA’s communication documents, covering the period from July to September 2019. Take a look and keep up to date with the latest FCA documentation.

There are now only two months to go until the implementation of SM&CR. RWA has interviewed over 140 firms over the past six months and has found that many remain unprepared for the implementation of the new regime on 9 December.

With little time remaining until the implementation of SM&CR on the 9th December, is your firm prepared?

The FCA has reminded firms that they need to register for its online platform, Connect, to update their firm details. This will be a requirement from January 2020.

The FCA has recently stepped up its efforts to ensure that firms are prepared for a potential no-deal Brexit. This comes with the warning that firms who are not appropriately prepared may face an impact on their business.

The FCA has recently published information on the number of skilled person reports commissioned by them since the start of the year.

RWA is hosting a SM&CR workshop on 12th September 2019 at the Chateau Impney Hotel, Droitwich, Worcestershire.

The FCA has published its final rules regarding the extension of SM&CR to FCA solo-regulated firms from 9th December 2019.

The FCA has launched a consultation on proposed guidance for firms regarding the consistent fair treatment of vulnerable customers.

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