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Industry Updates

Regulatory review into MiFID II product governance

fstp_admin Asset Management No Comment
caution-943376_1280
04 Mar

We take a quick look at the latest regulatory review. Access to full review inside.

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Industry Updates

Brexit Countdown- 20 October- 73 Days to Go

fstp_admin Bank of England No Comment
Screenshot 2020-10-20 110528
20 Oct

We take a look at some of the key impacts facing the UK as the countdown is on for the end of the transition period.

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Industry Updates

The FCA virtual AGM 2020 – is this the first of many to follow?

fstp_admin Annual General Meeting No Comment
14 Oct

With the FCA’s AGM taking place virtually this year we take a look at some of the key areas of focus.

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Industry Updates

The FCA is launching a new enhanced financial services register

fstp_admin FCA No Comment
13 Jul

The FCA have announced that the new enhanced register will be taking effect from the 27th July.

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Industry Updates

The diversity challenge for boards

fstp_admin Board diversity No Comment
25 Jun

Our guest author Stuart Smith takes a look at the challenges facing boards when it comes to diversity.

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Industry Updates

FCA appoint a new Chief Executive

fstp_admin FCA No Comment
22 Jun

The FCA have appointed Nikhil Rathi as its new Chief Executive

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Industry Updates

Suitability – regulatory focus in 2020

fstp_admin Dear CEO No Comment
Dear CEO, FCA, Financial Services regulation, Suitability, Suitability of advice
22 Jan

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.

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Industry Updates

FCA PS19/20 – Optimising the Senior Managers & Certification Regime – Feedback to CP19/4 and Final Rules

Lydia Francis Certification regime No Comment
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.

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Industry Updates

What’s in store for the FCA’s Annual Report?

fstp_admin Annual report No Comment
FCA, Annual report, Financial services, regulation
16 Jul

We take a look at what the FCA has covered in their Annual Report for 2018/19.

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Industry Updates

Treasury Select Committee’s (TSC) meeting with the FCA – 25/06/2019

Lydia Francis Andrew Bailey No Comment
FCA Logo
01 Jul

Read our brief overview of the TSC’s meeting with the FCA on 25th June 2019.

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Industry Updates

Outsourcing failings lead to a regulatory fine of £1.89m

fstp_admin FCA No Comment
05 Jun

Failings in outsourcing cost a firm £1.89m through joint fine by both the FCA and PRA

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Industry Updates

SM&CR: The FCA reminds firms about the extension of the regime and encourages early preparation

fstp_admin FCA No Comment
Accountability
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.

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Industry Updates

Does your UK Fund Board have the right calibre of iNEDs?

fstp_admin Asset Management No Comment
logo
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.

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News

Another Day, Another Fine

Lydia Francis AML No Comment
11 Apr

The second largest financial penalty ever imposed by The Financial Conduct Authority (FCA) for Anti-Money Laundering (AML) failings has been made public.

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Industry Updates

Transaction reporting failures hit the headlines again.

fstp_admin FCA No Comment
22 Mar

Read about the 13th fine made by the FCA relating to failures around transaction reporting.

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Course Updates

Open Course Highlights – Autumn 2018

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FSTP Autumn 2018 Open Course, Financial Services Courses, FSTP, Financial Services Training, Financial Services Training Partners, Financial Services Regulation, Financial Courses, FCA Regulated, Financial Regulation, Financial Services, Premier Accredited Training, CPD, Continuing Professional Development
30 Aug

Polish up your skills with some of our Autumn Open Course highlights!

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Industry Updates

Senior Managers & Certification Regime for Insurers – 5 months and counting…

fstp_admin Certification regime No Comment
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.

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Industry Updates

Extending the SM&CR to FCA firms – The FCA have released the near-final rules.

fstp_admin Certification regime No Comment
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.

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Industry Updates

What do the latest FCA’s consultation papers, CP18/12 & CP18/13, have in store for the high-cost credit sector?

Lydia Francis Consumer Credit No Comment
CP18-12, FCA, Financial Conduct Authority, FSTP, Financial Services Training Partners, Financial Training, Financial Services Training, Consultation Paper, FCA Consultation Paper, Financial Regulation
02 Jul

Take a look at our overview of CP18/12 and CP18/13.

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Industry Updates

The Insurance Distribution Directive – An April 2018 Update

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FSTP, Financial Services Training Partners, Financial Services Training, Time Running Out, Regulation Updates, Regulation Training, FCA Regulation Training
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.

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Industry Updates

Positioning for clients – not always an easy sell?

fstp_admin FCA No Comment
documents
26 Jan

MIFID II – Impact of changes workshops,

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Course Updates

Open and In-house Courses Preview for 2018

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FSTP, City of London, London Training, The City, Financial Services Training Partners, Financial Services Training, Financial Training, Financial Services Regulation, FCA Training, PRA Training, Financial Conduct Authority, FCA Regulation, London Training, London Financial Training
30 Nov

Take an early look at some of our forthcoming open courses. Booking are already being taken for our 2018 courses, so take a look at what is available and get in touch with the team if you have any questions or require something more tailored to your current requirements.

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Company Updates

FSTP summary document of the FCA CP 17/26 & PRA CP14/17

fstp_admin Consultation Paper 14/17 No Comment
FSTP, Financial Services Training Partners, Financial Services Training, Financial Services Regulation, FCA Training, FCA Consultation Paper, Financial Conduct Authority, SMCR, SM&CR, Senior Managers & Certification Regime, Senior Managers and Certification Regime, Senior Managers Regime, Certification Regime, Premier Accredited Training, Accredited Financial Training,
02 Aug

You can access FSTP’s summary of the FCA CP17/26 and PRA CP14/17 here.

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Company Updates

FSTP summary document of Consultation Paper 17/25

fstp_admin Certification regime No Comment
SMCR, Senior Managers and Certification Regime, CP17/25, Consultation Paper 17/25
27 Jul

You can access our summary document of CP17/25 here.

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Industry Updates

The FCA have released CP17/25: Extending the Senior Managers and Certification Regime

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SMCR, Senior Managers and Certification Regime, CP17/25, Consultation Paper 17/25, FCA, Financial Conduct Authority, FSTP, Financial Services Training Partners, FCA Consultation Paper, Financial Services Training, Financial Services Regulation, Financial Training, Financial Training, FCA Training, SMCR Accountability, SMCR, SM&CR, Senior Managers and Certification Regime, Certification Regime, Senior Managers 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.

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Course Updates

FSTP Open Course Update

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FSTP, Financial Services Training, Regulation and Compliance Training, Financial Services Training Partners, Financial Regulation, Financial Services Training, Financial Services Regulation, Financial Services Courses, Financial Services Open Courses, FCA, Financial Conduct Authority,
05 Jul

A look at some of the upcoming open courses running after the summer holidays.

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Industry Updates

MiFID II implementation – the FCA’s final Policy Statement 17/14

fstp_admin FCA No Comment
MiFID II Policy Statement 17/14,, Financial Services Training, FSTP, Financial Services Training Partners, Financial Training, Financial Regulation, FCA, Financial Conduct Authority, FCA Papers,
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.

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Industry Updates

Senior Managers & Certification Regime for Insurers – 5 months and counting…

fstp_admin Certification regime No Comment
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.

Read more
Industry Updates

Extending the SM&CR to FCA firms – The FCA have released the near-final rules.

fstp_admin Certification regime No Comment
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.

Read more
Industry Updates

The FCA release its final report into the asset management sector

fstp_admin Andrew Bailey No Comment
FCA Report into asset management sector, Financial Regulation, FSTP, Financial Services Training Partners, Financial Services Training, Financial Services Regulation, Financial Regulation, FCA Regulation, FCA Papers, FCA, Financial Conduct Authority, Asset Management, Asset Management Report,
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.

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Industry Updates

What does the FCA Business Plan mean for your firm?

fstp_admin FCA No Comment
FCA Business Plan, FCA, Financial Conduct Authority, FSTP, Financial Services Training Partners, Financial Services Training, Financial Services, Financial Services Regulation, Financial Regulation, FCA Regulation,
17 May

What are the key messages from the FCA business plan 17/18.

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Course Updates

FSTP Upcoming Open Courses – Senior Management Spring Update

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18 Apr

Here are some open courses we are running this Spring. We tend to use a two- or three-hour capsule learning format for Senior Management, as we know schedules are busy and a day out of the office is quite an ask. The sessions are jam-packed with information, advice and discussion, so you’re guaranteed to get a lot out of them.

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Course Updates

FSTP Upcoming Open Courses in Compliance and Risk – Spring Update

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FSTP Compliance and Risk, Compliance, Risk, FSTP, Financial Services Training Partners, Financial Services Training, Financial Services Regulation,
11 Apr

This is the Spring 207 round up of FSTP courses we’ve planned for the Compliance and Risk area.

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Industry Updates

The FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings

fstp_admin AML No Comment
31 Jan

The FCA have issued a £163 million fine for serious failings around AML

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Industry Updates

Have you had your say on the FCA’s future mission?

fstp_admin FCA No Comment
FCA future mission, FSTP, Financial Services Training Partners, Financial Services Training, Financial Services Regulation, FCA, FCA Regulation, Financial Conduct Authority,
12 Jan

What feedback have the FCA received to date and how to have your say.

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Industry Updates

Details of SMR & CR for the rest of the Financial Services industry, don’t hold your breath…

fstp_admin Certification regime No Comment
28 Sep

The FCA have release some important information for those 52, 000 firms who will be moving to the SMR and CR in early 2017.

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Industry Updates

The FCA provides us with some summer reading around MiFID II

fstp_admin Consultation Paper 16/19 No Comment
FCA Consultation paper, MiFID II, FSTP, Financial Services Training Partners, Financial Services Training, Financial Services Regulation, Financial Regulation, FCA, Financial Conduct Authority, FCA Paper,
17 Aug

The FCA has released their Consultation Paper on MiFID II proposals.

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Course Updates

FSTP Upcoming Courses – Compliance and Risk August

fstp_admin CISI No Comment
15 Aug

A round up of upcoming training events for compliance and risk professionals.

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Industry Updates

Is developing organisational Culture within your financial services company one of your priorities?

fstp_admin Culture and Ethics No Comment
08 Aug

We take a look at why the FCA is placing an emphasis on firms developing an appropriate culture, and how you can start to meet these requirements.

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Industry Updates

The impact of suitability on your business – Suitability costs of well known Private Bank reach £139 million.

fstp_admin Audit and File reviews No Comment
29 Jul

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.

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Company Updates

Courses: What’s Coming Up in Senior Management and Board

fstp_admin APER No Comment
FSTP, FCA, Regulatory Compliance, CPD, Workshops
29 Jul

A round up of upcoming training events for Senior Management and Board Members.

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Company Updates

Market Abuse Regulation – Are all your new processes in place?

fstp_admin FCA No Comment
FSTP,Market Abuse Regulations, MAR, Financial Regulation, STOR, Financial Services Training Partners, Financial Services Training, Financial Services Regulation,
07 Jul

With the Market Abuse Regulation (MAR) having gone live on the 3rd July 2016, we take a quick look at how you can check your firm has everything implemented properly.

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Course Updates

FTSP Upcoming Courses – Compliance and Risk

fstp_admin compliance and risk No Comment
FSTP Compliance and Risk Courses
28 Jun

A round up of upcoming training events surrounding Compliance and Risk.

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Course Updates

Cloned websites, do you have the process and procedures to manage if it happened to you?

fstp_admin Cloned websites No Comment
Protecting against cybercrime and online fraud, Cyber Crime, Financial Crime, Cyber Fraud, Fraud, FSTP, Financial Services Training Partners, Financial Services Training, Financial Training, Financial Services Regulation, Premier Accredited Training Provider,
16 Jun

The FCA is always warning of cloned websites. But how would you know if it has happened to you and do you know the actions you should take?

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Industry Updates

Suitability of advice – still under the regulatory spotlight?

fstp_admin Evidencing suitability No Comment
24 May

We all know that suitability of advice has been a key focal point for the FCA recently. It doesn’t look as though this focus will be changing for some time.

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Industry Updates

If your firm provides financial advice, you must read these FCA survey results.

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FCA survey results on financial advice firms, FSTP, Financial Services Training Partners, Financial Services Training, Financial Training, Financial Regulation, Financial Services Regulation, Premier Accredited Training Provider, Industry News, FCA, Financial Conduct Authority, FCA Paper, Financial Advice, Financial Advice Paper,
12 May

FSTP recommend firms make sure they are fully aware of the FCA survey of firms providing financial advice

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Company Updates

The evolving regulatory landscape. How can you help your staff stay ahead?

fstp_admin British Bankers' Association No Comment
FSTP partnership with Unicorn Training, ComplianceServe, FSTP, Financial Services Training Partners, Financial Services Training, Financial Training, Financial Regulation, Financial Services Regulation, Premier Accredited Training Provider, Unicorn Training, Online Learning, Financial Training Online,
06 May

FSTP Industry Partners Unicorn Training release updated ComplianceServe.

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Industry Updates

Would your inducement processes and procedures stand up to regulatory scrutiny?

fstp_admin Barry Howard No Comment
FCA review into inducements, FSTP, Financial Services Training Partners, Financial Services Training, Financial Training, Financial Regulation, Financial Services Regulation, Premier Accredited Training Provider, Inducements, Financial Inducements, FCA, Financial Conduct Authority,
28 Apr

The FCA’s review of inducements, within the industry, has brought to light some key outcomes.

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Industry Updates

Another year – but has the FCA highlighted any new issues?

fstp_admin AML No Comment
21 Apr

Julia Kirkland takes a look at the Risk outlook in the FCA 16/17 Business plan. Are there any new topics, or are they the same old familiar faces? What can we expect from them?

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Industry Updates

Deadlines fast approaching for the new Senior Managers Regime

fstp_admin FCA No Comment
10 Jan

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.

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