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The FCA have announced that the new enhanced register will be taking effect from the 27th July.
In light of all that has happened in the last 12 months and the end of the transitional period of UK leaving Europe, it should come as no surprise that the FCA have issued a Discussion Paper on the future of regulatory oversight of Investment firms including Asset managers.
Gain 1 hour of structured CPD with our latest edition of Advice Matters. With articles focusing on Green finance, Taxing investments and a synopsis of the FCA business plan for 2020/2021.
Our guest author Stuart Smith takes a look at the challenges facing boards when it comes to diversity.
The FCA have appointed Nikhil Rathi as its new Chief Executive
No this is not a script from that classic - Family Fortunes but the actual results from a recent client survey we conducted because of Covid19. We sent out the survey to…
It is just as important to remain up to date now as it has ever been. That is why our first and last articles in this edition deal with the stuff you need to be looking at now, that are impacted by Covid-19 – vulnerable customers and the impact on SM&CR, with our middle article covering the impact of the 5th Money Laundering Directive. Access 1 hour of free structured CPD inside today.
Recognition for being a leading exponent of a particular topic or skill is one thing, but FSTP have always looked to demonstrate excellence and have that excellence accredited.
Are you a HR professional working in Financial Services? Join our HR forum, were you can discuss challenges and solutions with like minded peers. FSTP Partner Philippa Grocott will be facilitating the sessions and bringing a wealth of experience from within the Financial Services sector.
In Episode 4 of the FSTPcast, we talk about Apprenticeships and their position in the business landscape during Covid19.
In FSTPcast 3 we take a look at how the industry has adapted to the unprecedented times we find ourselves in.
In FSTPcast 2 we discuss what firms need to be doing to keep their sights on what needs to be done for to stay on track for SM&CR deadlines in December 2020.
In the first of our FSTP-casts we take a look at professional qualifications in Financial Services.
On the 3rd April the Regulators issued statements for both Dual and Solo Regulated firms concerning the application of SM&CR requirements. Take a look at our condensed table to see what they mean for your business.
Access the latest Dear CEO letter from the FCA.
Our Executive Matters is back to keep clients up to date on the changing environment and provide guidance and support on a range of topics in these uncertain times.
We have taken the decision to move over to providing our clients with online learning that can still be tailored to your firm to allow industry professional to make the most of this time and continue to gain CPD.
Our senior Partner Julia Kirkland takes a brief look at some of the less talked about figures from the budget.
Results for FSTP students that took the winter 2019 CISI Chartered Wealth Management exams are, yet again, above the national average pass rate across all three papers.
Discover how we are supporting the financial services industry with access to a range of apprenticeships.
Find out how you can access funding and make sure you know what you can use the funding for.
We take a look at why apprenticeships have been so successful for business and here from some apprentice case studies.
Leading up to Apprenticeship week 3 – 9 February, we are myth busting some of the key misconceptions around apprenticeships in the first of our four articles.
Discover how we are helping the financial services industry simplify apprenticeships and see our full offering.
The FCA has released a Dear CEO letter for financial advisers around the suitability of advice and why he regulator is making this an area of focus for 2020.
We summarise the latest key findings from the FCA’s Dear CEO letter to kick start 2020.
It may be the start of a new year – nay, a new decade – but for Financial Services is it just a case of the ‘same old, same old’? – Discuss.
Take a look at all the courses scheduled for 2020, and don’t forget to keep checking back for new additions throughout the year.
We take a look at 7 reasons why you should be looking to make the most out of the apprenticeship levy.
As we approach the festive holiday season we take a look at a pick of our courses taking place prior to the holiday season.
The Personal Finance Society has published a document entitled “Agent as Client, What you need to know”, which could finally become an industry standard.
All enhanced solo regulated firms should use this reference document to make sure they have completed all the necessary documentation the regulatory requires by the 24th November 2019.
All Core and Limited Scope firms should use this reference document to make sure they have completed all the necessary documentation the regulatory requires by the 24th November 2019.
One hour of free structured CPD available here. The topics covered in this edition are Financial Promotions, Pension beliefs and Supervising Certified people.
Discover the key 5 questions and what you should be doing to answer them.
Under SM&CR how will your assessment of staff fitness & propriety hold up under FCA scrutiny?
Discover how HR professional in Financial services who responded to our survey are handling the hot topics.
The FCA has announced that it will increase its supervisory focus on conduct rules across all sectors.
One hour of free structured CPD available here. Topics covered in this edition are the FCA annual report, GDPR and Product oversight and Governance.
Discover how our candidates performed and why we continue delivering excellent results.
One of the last pieces of the SM&CR jigsaw has been put in place with the publication of the FCA’s Policy Statement PS19/20.
We take a look at what the FCA has covered in their Annual Report for 2018/19.
Read our brief overview of the TSC’s meeting with the FCA on 25th June 2019.
Take a look at a selection of our upcoming public open courses.
One hour of free structured CPD available here.
Failings in outsourcing cost a firm £1.89m through joint fine by both the FCA and PRA
The FCA issued a reminder to all firms that are affected by the extension of the SM&CR, which comes into force on the 9th December 2019.
With UK Fund Boards being required to have at least 25% of their board positions filled by iNEDs by September 2019, we explain how our new partnership is help to support the needs of firms and the individuals searching for an iNED position.
The second largest financial penalty ever imposed by The Financial Conduct Authority (FCA) for Anti-Money Laundering (AML) failings has been made public.
We have a long standing partnership with Unicorn Training who have launched ‘InFocus’ a FREE bi-monthly publication covering the hot topics in the financial services regulatory landscape.
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