FIN.

Category - Conduct

FCA updates SMCR page

FCA has reminded solo-regulated firms that if they want to opt up to the Enhanced firm category, they must submit their Form K (which all Core and Enhanced firms must submit anyway) together with their Form O, by 24...

FCA confirms market code recognition

FCA has confirmed it is recognising the FX Global Code and the UK Money Markets Code. These are the first codes to be recognised under its new scheme. While FCA will not supervise firms or individuals directly against...

FCA makes new rules

FCA’s latest handbook notice outlines all the rules adopted by FCA in its February and March Board meetings, including some not reported on in other FIN items. It includes a fill its of all the Brexit instruments...

FCA finalises CMC SMCR rules

FCA has published its policy statement and final rules explaining how it will apply the SMCR to CMCs.  In the main, it has confirmed the rules it proposed, with a few adjustments following consultation. The key elements...

FCA updates on preparing for Brexit

FCA has added a page to its website updating firms on what they could and should be doing to prepare for Brexit. The page is for use by UK and EEA firms and takes them through each various practicality they should...

FCA feeds back on SMCR extension

FCA has published a suite of papers feeding back on the SMCR extension, and has proposed the creation of a new directory of individuals working in financial services to enable their status and history to be checked. The...

Book now: SMCR seminar

We are delighted to speak at and host a half day seminar on 2 October with the Compliance Register on the extension to the SMCR.  For details and to book, please contact the Compliance Register.

BSB publishes fit and proper guidance

The Banking Standards Board has published some supporting guidance to its principles on fitness and propriety assessments.  It focuses on helping firms identify and deal with the risks and issues that may arise when...