The FCA found that, despite firms being aware of the rules and taking compliance seriously, firms are not interpreting the rules consistently
The FCA has highlighted areas in which transitional relief will not be granted in a no-deal scenario. Firms need to prepare now to comply with
The FCA is proposing to exclude the Head of Legal from the scope of the Senior Managers Regime.
The FCA acknowledges that the scope of the Client Dealing Function needs to be clarified, and will consult on changes to its rules.
Under the Temporary Permissions Regime (TPR), the FCA intends to apply the Senior Managers and Certification Regime (SMCR) and the Approved Persons
The FCA has published TR183, setting out the findings from its thematic review of the anti-money laundering (AML) and counter-terrorist financing
As part of its ongoing Digital Currencies inquiry, the House of Commons Treasury Committee (the Committee) has published a report on crypto-assets
HM Treasury published draft legislation on 24 July 2018 to establish a temporary permissions regime. As previously announced, the regime is being
The FCA and the PRA have published their Policy Statements, setting out final rules on the SMCR regimes for insurers and FCA solo-regulated firms. Key
The FCA has recently announced that it will begin a review of how firms have implemented the unbundling rules “within weeks”. At its recent asset