22
Aug
The FCA has announced that it will increase its supervisory focus on conduct rules across all sectors.
15
Aug
One hour of free structured CPD available here. Topics covered in this edition are the FCA annual report, GDPR and Product oversight and Governance.
Industry Updates
CISI Chartered Wealth Manager – Results day for those taking the industry gold standard qualification
08
Aug
Discover how our candidates performed and why we continue delivering excellent results.
Industry Updates
FCA PS19/20 – Optimising the Senior Managers & Certification Regime – Feedback to CP19/4 and Final Rules
29
Jul
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.
16
Jul
We take a look at what the FCA has covered in their Annual Report for 2018/19.
01
Jul
Read our brief overview of the TSC’s meeting with the FCA on 25th June 2019.
17
Jun
One hour of free structured CPD available here.
05
Jun
Failings in outsourcing cost a firm £1.89m through joint fine by both the FCA and PRA
Industry Updates
SM&CR: The FCA reminds firms about the extension of the regime and encourages early preparation
18
Apr
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.
17
Apr
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.
22
Mar
Read about the 13th fine made by the FCA relating to failures around transaction reporting.
14
Feb
The scope of the Senior Managers and Certification Regime is huge and the impact on the financial services industry can’t be under estimated. You just have to speak to the firms already under SMCR. Find out how we can support you with your SMCR projects, no matter what stage you are currently at.
17
Jan
Would you benefit from knowing you have monthly structured CPD being delivered direct to your desk? That is what our Advice Matters Publication does for our Adviser clients. Providing them peace of mind with 12 hours of structured CPD over the year.
10
Jan
Wednesday the 9th January 2019 saw the FCA release a letter on their website to all CEOs of regulated firms reminding them of their responsibilities around the use of financial promotions.
14
Dec
SM&CR is coming in to play across the industry by December 2019. We know that firms will all be at various stages of their project plan which is why our toolkit let you select the elements you require support with.
07
Nov
Benefit from monthly structured CPD delivered direct to your desk. Advice Matters provides exactly that for the duration of the 12 month subscription.
17
Oct
Benefit from monthly structured CPD delivered direct to your desk. Advice Matters provides exactly that for the duration of the 12 month subscription.
27
Sep
Would you benefit from knowing you have monthly structured CPD being delivered direct to your desk? That is what our Advice Matters Publication does for our Adviser clients. Providing them peace of mind with 12 hours of structured CPD over the year for just £35.
14
Sep
Access our results of a recent T&C survey for Investment & Wealth Management firms.
11
Jul
With the announcement that the SMCR implementation date for insurers is the 10th December. We are on a 5 month countdown and to help get you off to a great start access our condensed summary of the FCA Policy Statement 18/15.
10
Jul
The FCA have provided the near-final rules for extending the SM&CR to FCA firms. We have broken this 412 page document down into a handy condensed document, providing all the key points.
Industry Updates
What do the latest FCA’s consultation papers, CP18/12 & CP18/13, have in store for the high-cost credit sector?
02
Jul
Take a look at our overview of CP18/12 and CP18/13.
24
May
Our Senior Partner reviews the key points of the FCA business plan affecting the industry as a whole and focuses on some sector specific issues.
20
Apr
With the delayed implementation date of IDD approaching on the 1st October 2018. It is important to take a look at what is expected. Keeping in mind the industry should now already be well prepared for the 1st October.
05
Apr
Our Senior Partner Julia Kirkland takes a look at some of the impacts of BREXIT on the asset management sector.
13
Mar
Would you benefit from knowing you have monthly structured CPD being delivered direct to your desk? That is what our Advice Matters Publication does for our Adviser clients. Providing them peace of mind with 12 hours of structured CPD over the year for just £35.
20
Feb
If you’re looking to take the CISI Chartered Wealth Manager exam here’s all you need to know to get started.
15
Feb
Another successful results day for our candidates across the CISI Chartered Wealth Manager exams.
Industry Updates
With the IDD application date now postponed, prepare your firm with expert knowledge.
09
Feb
Keep up to date with the latest information around the Insurance Distribution Directive (IDD).
05
Feb
A look into what we should all be focusing on one month after MIFID II implementation.
26
Jan
MIFID II – Impact of changes workshops,
22
Jan
A condensed paper covering the extension of the Senior Managers & Certification Regime to all FCA regulated firms (CP 17/26) and including the transitional arrangements for insurers and individuals to the SMCR (CP 17/41).
08
Jan
A condensed paper covering the extension of the Senior Managers & Certification Regime to all FCA regulated firms (CP 17/25) and including the transitional arrangements, CP 17/40.
05
Jan
HM Treasury have announced who will be taking over as the new Chair of the FCA in April 2018.
13
Dec
Have your say on the FCA’s approach to both Authorisation and Competition.
29
Sep
As the MiFID II deadline draws closer the thorny and sensitive topic of K&C is bubbling up as a major concern for our clients.
16
Aug
What should candidates look out for and what should they expect from a study provider?
10
Aug
Advice Matters is an accredited monthly e-journal. Each edition contains a number of articles written by industry experts, that combine knowledge and skills related topics, with technical and regulatory updates.
02
Aug
You can access FSTP’s summary of the FCA CP17/26 and PRA CP14/17 here.
27
Jul
You can access our summary document of CP17/25 here.
Industry Updates
The FCA have released CP17/25: Extending the Senior Managers and Certification Regime
26
Jul
The FCA have released the consultation paper on their proposals for extending the Senior Managers and Certification Regime. They will be accepting feedback until 3 November 2017.
FSTP’s condensed version of the consultation paper will follow shortly.
19
Jul
Don’t worry if you missed it. Julia Kirkland was in attendance and provides her round up of what sounds like an interesting event.
11
Jul
Advice Matters is an accredited monthly e-journal. Each edition contains a number of articles written by industry experts, that combine knowledge and skills related topics, with technical and regulatory updates.
11
Jul
What impact will the implementation of the EU Insurance Distribution Directive (IDD) have on the Insurance Industry? UK firms are required to comply by the 23rd February.
04
Jul
The wait is finally over for the FCA’s final policy statement on the implementation of MiFID II. But it doesn’t look like a relaxing summer read, so get a head start with our summary of the document here.
01
Jul
With the announcement that the SMCR implementation date for insurers is the 10th December. We are on a 5 month countdown and to help get you off to a great start access our condensed summary of the FCA Policy Statement 18/15.
01
Jul
The FCA have provided the near-final rules for extending the SM&CR to FCA firms. We have broken this 412 page document down into a handy condensed document, providing all the key points.
28
Jun
The FCA have released the final market study into the asset management sectors. Find out the remedies being taken forward to address the issues identified.
09
Jun
What is the early impact of the election results for the industry, and the implications moving forward for the scheduled regulatory updates?
05
Jun
The results from the 2016 Suitability of Advice review have been released, along with some important information for firms moving forward.