Category: FCA regulations

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ARE YOU READY FOR INTENSIFIED AR REPORTING?

20 June 2022 IFPR is not the only contentious acronym hitting the headlines recently. The Appointed Representatives regime (ARR) has morphed in the last few years into a controversial debate about how financial products and services should be delivered. Whilst …

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SUCCESSFUL SENIOR MANAGEMENT APPLICATIONS

8 June 2021  The FCA is often criticised for authorising individuals with ‘interesting histories’ and yet, in the same breath, for taking so long to approve applications. Factual evidence would suggest these criticisms are fair. The FCA should do more …

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New FCA directory regime for advisers

21 October 2020  We were pleased to brief readers of Professional Adviser about the need for IFAs to prioritise the submission of data for the new ‘FCA Directory of certified and assessed persons’ which is going live later this year under …