Articles and updates about regulatory changes

Regulatory Insights

The regulatory landscape for FCA regulated firms can be overwhelming and sometimes difficult to stay on top-of. From regulatory returns through financial crime regulation to ICO regulation, the applicable rules are vast and often challenging to implement. 

 

We regularly publish articles on key regulatory developments, consultation or general industry related topics. These topics are not designed to provided any advice but should help you maintain you knowledge and guide you through any potential impact the changes have on your business.

 

Naturally, should you have any questions about the articles or any other compliance matter, please do get in touch!

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19 May 2020

COVID Update: FCA guidance on supporting customers in financial difficulties

The FCA has issued a temporary guidance to firms, outlining their expectations of firms when it comes to supporting customers in financial difficulties, created by the current COVID-19 pandemic.

January 24, 2017

Rule Change: Mandatory Annual Update

In this short article, we introduce the Mandatory Annual Update, a new obligation on firms to attest to the accuracy of their firm details via the Connect system.

29 November 2019

Senior Manager and Certification Regime (SM&CR): an overview

SM&CR comes into force for all FCA regulated firms (solo-regulated) on 9 December 2019. In this article, we introduce the key components.

January 14, 2017

SM&CR: Conversion of Controlled Function & key impact

In this article, we review how SM&CR will be implemented for Senior Managers and the key implications for NEDs.

February 10, 2017

FAQs: DBS requirements under SM&CR

In this article, we will review some of the question we frequently received from our clients in relation to criminal checks under the SM&CR regime (DBS checks).

  

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