The FCA has provided information for firms on its response to the coronavirus outbreak.
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?
FCA is Encouraging Firms to Develop Purposeful Cultures
The FCA has published a discussion paper on driving purposeful cultures in financial services. It aims to encourage firms to embed healthy purposeful cultures which will lead to good outcomes for customers, employees and investors.
FCA Takes Action on Financial Promotions
The FCA has recently banned a number of online adverts issued by a motor finance firm. Here’s what firms need to consider when issuing any financial promotions.
FCA Makes New Appointments to its Board
The FCA has recently announced two new appointments to its Board.
FCA Provides Information for Firms About Brexit Implementation Period
The FCA has provided information for firms regarding the Brexit implementation period, following the UK’s exit from the EU on 31 January 2020.
SM&CR – Implementing Lasting Change
It’s been over a month since the arrival of SM&CR. How can firms ensure that SM&CR becomes ‘business as usual’ in 2020, and not something they need to be concerned about?
Firms Need to Update or Confirm Firm Details Annually
The FCA has reminded firms that, from 31 January 2020, they must check, amend or confirm the accuracy of their Firm Details annually via the Connect portal.