FCA Compliance

This weeks’ article is the second in a series exploring key takeaways from the FCA’s multi-firm review findings and how firms can approach monitoring to drive forward each of the outcomes under the Duty and evidence this to the regulator.

With a new party set to take control after 14 years of Conservative rule, this article explores the insurance industry’s response to the election result.

This article forms the first of a series which will explore how firms can approach and utilise monitoring to drive forward each of the Duty’s outcomes, and evidence this to the regulator.

The FCA are consulting on proposals to require criminal/DBS checks to be undertaken for owners and controllers of directly authorised firms in a bid to prevent criminals from owning or controlling regulated firms.

This article will highlight things for firms to consider when ensuring that advertisements treat mental health responsibly. 

The FCA has published a page ‘Information for Principals with Overseas Appointed Representatives’ containing information outlining additional challenges Principles may face and expectations and practical considerations for OAR oversight. 

The FCA has published a speech delivered by Steve Smart, joint executive director of enforcement and market oversight highlighting the importance of how collaboration and teamwork will play a part in tackling financial crime.

To mark Pride Month 2024, this article explores how the financial services sector can take meaningful steps to cultivate inclusive, safe, and supportive workplaces, and the importance of doing so for both employees and the customers they serve within the LGBTQ+ community.

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