Category: FCA Announcements

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FCA to quiz firms with DB permissions

The FCA announced earlier this month that it will be contacting all firms who hold permission to advise on DB pension transfers and other safeguarded benefits, to request further data to allow them to continue to understand the shape of …

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Crunch time for culture issues

Looking back over 2018, one of the key regulatory themes emphasised throughout was culture. The year started with what can be best described as another stain upon the reputation of the financial services industry, with the unedifying publicity regarding the Tata …

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FCA confirms near final rules for SM & CR

The Financial Conduct Authority (FCA) has published a series of papers explaining how it plans to implement the Senior Managers & Certification Regime across all sectors of the financial services industry. At present, the Regime only applies to the banking …