With the FCA’s AGM taking place virtually this year we take a look at some of the key areas of focus.
The FCA have announced that the new enhanced register will be taking effect from the 27th July.
One hour of free structured CPD available here. Topics covered in this edition are the FCA annual report, GDPR and Product oversight and Governance.
Read about the 13th fine made by the FCA relating to failures around transaction reporting.
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 look at some of the upcoming open courses running during Autumn.
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.
The FCA has issued PS17/9 that explains how the duty of responsibility will be enforced throughout the industry.
This is the Spring 207 round up of FSTP courses we’ve planned for the Compliance and Risk area.
We ask some key questions around the upcoming Packaged Retail and Insurance-based Investment Products, due for implementation on the 31st December.
FSTP have produced a summary of the PS16/22 to save our clients time in digesting the information contained in the full FCA release.
With increasing scrutiny on the competence of staff within financial services, we take a look at some of the questions firms should be able to answer.
The FCA has released their Consultation Paper on MiFID II proposals.
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.
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 for Senior Management and Board Members.
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.
How to make sure that your regulatory reporting requirements are up to standard.
Time to reflect on the outcome of the referendum, and start planning for the hand we have been dealt.
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?
With two high profile new starters, we take a loo at the impact this could have on the City.
There has been plenty written about whether those fines will ever be paid and where blame lies. We know other firms have already paid the price of being involved with the KeyData. But we are where we are with the FCA as a Regulator and more EU Directives are coming along very shortly.