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Episode 15 Regulatory Update - The FCA Responds To External Events
The Financial Conduct Authority (FCA) continues to respond to external events: including the impact on regulation of UK sanctions relating to Russia, cost of living increases, global action on cryptocurrencies and a potential strike vote from its own staff.
David Morrey
David Morrey
| 35 min listen | 06 Apr 2022
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Episode 13 Regulatory Update - The Regulators Changing Focus
Regulators are facing a shift in focus - with a big emphasis on responding to external events.
David Morrey
David Morrey
| 43 min listen | 22 Mar 2022
FCA considers new AR rules on regulatory hosting
Article FCA considers new AR rules on regulatory hosting
Firms should consider how new FCA definitions and requirements on regulatory hosting will impact their operations.
David Morrey
David Morrey
| 28 Feb 2022
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Episode 11 Regulatory Update - FCA'S 2022 Priorities
On 31 December 2021 the Financial Conduct Authority (FCA) issued a press release reviewing its highlights of the year.
David Morrey
David Morrey
| 37 min listen | 25 Feb 2022
Firms must build robust AR due diligence and oversight
Article Firms must build robust AR due diligence and oversight
Firms must strengthen appointed representative due diligence and oversight to meet the FCA's new rules.
David Morrey
David Morrey
| 22 Feb 2022
Firms must strengthen reporting to meet new AR rules
Article Firms must strengthen reporting to meet new AR rules
Firms must improve Appointed Representative reporting to meet new FCA rules on notification and annual returns.
David Morrey
David Morrey
| 14 Feb 2022
Firms must prepare for appointed representative changes
Article Firms must prepare for appointed representative changes
Potential changes to well-established regime can impact compliance practices for firms.
David Morrey
David Morrey
| 07 Feb 2022
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Episode 10 Regulatory Update - 2021 Reflections
As we approach the end of the year, the FCA has released its much-anticipated final consultation on the proposed new consumer duty.
David Morrey
David Morrey
| 41 min listen | 26 Jan 2022
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Episode 9 Regulatory Update - FCA'S ESG Strategy
The Financial Conduct Authority (FCA) has released several updates this month, including publishing the Regulatory Initiatives Grid and the Future Regulatory Framework.
David Morrey
David Morrey
| 38 min listen | 16 Dec 2021
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Episode 7 Regulatory Update - Crowded Q4 Regulatory Agenda
Regulators and HM Treasury are expected to release several updates imminently including the Future Regulatory Framework (FRF) Review, Regulatory Initiatives Grid, and consultation papers.
David Morrey
David Morrey
| 38 min listen | 26 Nov 2021
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Episode 5 Regulatory Update — FCA Moves On From COVID
The Financial Conduct Authority (FCA) is trying to move on from COVID-19 in the last few months of 2021.
David Morrey
David Morrey
| 47 min listen | 14 Oct 2021
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Episode 4 Regulatory Update - FCA Business Plan 2021/22
The FCA published their Business Plan for 2021/22, setting an ambitious agenda for change.
David Morrey
David Morrey
| 37 min listen | 29 Sep 2021
Investment Firm Prudential Regime
Episode 3 Investment Firm Prudential Regime
The UK Investment Firm Prudential Regime (IFPR) is a new, streamlined and simplified process for the prudential regulation of investment firms in the UK.
David Morrey
David Morrey
| 42 min listen | 22 Jul 2021