How has Covid-19 impacted on the industries response to the FCA’s CP/32 from December 2019, looking for responses around operational resilience? Originally asking for feedback by April 2020, you may have thought it would be well into 2021 before needing to act on any final rules and, that would have been a fair observation, if not for the seismic impact of Covid-19.
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.
Our guest author Stuart Smith takes a look at the challenges facing boards when it comes to diversity.
Our senior Partner Julia Kirkland takes a brief look at some of the less talked about figures from the budget.
Failings in outsourcing cost a firm £1.89m through joint fine by both the FCA and PRA
The second largest financial penalty ever imposed by The Financial Conduct Authority (FCA) for Anti-Money Laundering (AML) failings has been made public.
Read about the 13th fine made by the FCA relating to failures around transaction reporting.
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If you’re looking to take the CISI Chartered Wealth Manager exam here’s all you need to know to get started.
Keep up to date with the latest information around the Insurance Distribution Directive (IDD).
A look into what we should all be focusing on one month after MIFID II implementation.
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).
Have your say on the FCA’s approach to both Authorisation and Competition.
Today saw the release of the CISI June narrative exam results. These included all three of the level 7 Chartered Wealth Manager papers. Our candidates have again exceeded the national average.
What should candidates look out for and what should they expect from a study provider?
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.
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.
What is the early impact of the election results for the industry, and the implications moving forward for the scheduled regulatory updates?
What are the key messages from the FCA business plan 17/18.
Nobody likes to receive complaints but when you do how you handle them can have a big impact on your business.
The FCA has issued PS17/9 that explains how the duty of responsibility will be enforced throughout the industry.
An article focusing on technical knowledge around Indirect Investments. This first appeared in our popular e-journal, ‘Advice Matters’ in February 2017.
An article focusing on whether we can identify those clients who may be facing or are already in financial distress. First appeared in our popular e-journal, ‘Advice Matters’ in September 2016.
With the release of the findings from the FCA’s Asset Management Market Study on the 18/11/16. We take a look at what this could mean for the industry moving forward.
Take a look at how you could take control of 12 hours of your annual CPD, with our accredited online monthly e-magazine Advice Matters.
Our candidates have again surpassed the national average pass rate.
The importance the regulator is placing on suitability of advice to protect customers is highlighted through the lengths firms are going to make sure they are fully meeting these regulations.
A round up of upcoming training events surrounding Personal Development.
The FCA is aiming to create a ‘safe space’ to allow firms to test innovative products, services, business models and delivery mechanisms.
FSTP students have once again won a number of prestigious CISI achievement awards.
FSTP Chartered Wealth Management students have exceeded the national average yet again.
With the Senior Managers Regime (SMR) just around the corner, have you completed all the necessary forms for Grandfathering? Also have your final say on the regulators proposals.
We have been awarded the status of Premier accredited training provider for the CISI. Which is a great achievement and acknowledgement of all the hard work that goes into delivering our qualification programmes.
We take a brief look at the results of the General Election.