January 31, 2022
New restrictions on the financial promotions of crypto assets
The Financial Conduct Authority (FCA) has launched a consultation paper (CP22/2) on financial promotion rules for high-risk investments, including crypto assets.
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Crypto Regulations
January 28, 2022
What are regulatory controls and how do you conduct control monitoring
As a regulated firm or a firm wishing to become regulated, you will need to ensure you have a robust control plan and can conduct effective monitoring of controls. In this article, we will detail what a control plan is and the steps you can take to conduct effective control monitoring.
Read MoreJanuary 28, 2022
Consumer Credit - New regulatory considerations
The FCA’s, Director of Consumer and Retail Policy has recently provided its view on where changes are required in the Consumer Credit market. This detail arising from a speech identified that Consumer credit remains a key priority for the FCA.
Read MoreJanuary 28, 2022
Vulnerable customers – understanding and meeting the FCA’s guidelines
Fair treatment of vulnerable customers has been a longstanding concern for the FCA . The FCA has released the Finalised Guidance (FG21/1). It sets out its view of what firms should do to comply with their obligations under the Principles and ensure they treat vulnerable customers fairly.
Read MoreJanuary 7, 2022
FCA Fee Cap on CMCs
You will be aware that the FCA’s price cap is coming into existence on 1 March 2022. As a quick primer, this means there will now be five redress bands with a maximum fee charged per band.
Read MoreDecember 6, 2021
Funeral plans come under FCA regulation July 2022
The FCA has confirmed that from 29 July 2022, it will take on responsibility for regulating and supervising the pre-paid funeral plans market.
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Funeral Planning
November 10, 2021
Regulatory considerations for Consumer Credit Firms
The FCA has set out new rules for claims management companies (CMCs) to protect consumers against excessive charges. Some of the major changes include:
Read MoreOctober 19, 2021
Regulatory considerations for Consumer Credit Firms
The FCA's Director of Consumer and Retail Policy has recently provided its view on where changes are required in the Consumer Credit market.
Read MoreOctober 15, 2021
The FCA Register
As an institution with financial services activities, you are likely to require authorisation by the FCA.
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