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Control Your Conflicts: Strategies for Transparency & Integrity
WEBINARBeyond Compliance: Elevating Governance and Managing Risks Effectively
WEBINARNavigating Disruption: Building Operational Resilience in Today's World
WEBINARBeyond the Checklist: Unveiling the True Essence of Consumer Duty
WhitepaperOperational Resilience: Adapt, Respond & Recover
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“Depending on who you speak to, AI could either lead to the destruction of civilisation, or the cure for cancer or both. It could either displace today’s jobs or enable an explosion in future productivity. The truth probably embraces both scenarios. At the FCA we are...
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Following the initial milestone of 31st October 2022, the FCA reviewed a sample of the implementation plans from some of the larger firms operating in the UK. These were firms deemed to be of higher risk as they operate in the retail market and could impact both...
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This is one of the questions addressed in the UK's consultation Review of the UK Funds Regime . During 2022, the UK Government published its final response on how it aims to enhance the fund regime in the UK. In its publication, the HMT acknowledged the role that the...
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Whether you work in the pensions sector, or not, everyone needs to understand what Pension Dashboards are, and what it means for you personally. With the draft Pension Dashboard Regulations 2022 published earlier in 2022, we now see a large scale collaboration between...
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The Appointed Representative Regime (the Regime) was introduced in 1986 initially for investment services. With the introduction of the Financial Services and Markets Act 2000 (FMSA), the Regime’s scope was broadened. The aim of the Regime has always been to provide a...
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From the 1 September 2022, most trusts will need to be registered with HMRC. There are a few exceptions. This follows a 12-month transition period. What’s changing and why? Back in 2017, you may recall that the UK set up the Trust Registration Service (TRS) to fulfil...
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The FCA published a cyber resilience questionnaire cross sector report in 2018 and its findings are still relevant today. The cross sector report highlighted that the following points were top of the agenda for many firms: Concerns around cyber resilience Improving...
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Prior to AIFMD and UCITS V, transfer agents (TAs) were unknown, however the need for greater transparency and trust has raised their profile. Transfer agents play an important role in financial services. They fulfil a number of functions such as maintaining and...
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Governing bodies have a duty to fulfil in providing oversight. What does that mean for workplace pensions? For workplace pensions, the bodies tasked with this oversight are the Independent Governance Committees (IGCs) and Governance Advisory Arrangements (GAAs). With...
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The FCA hosted a live event providing feedback to the industry regards preparation for the March 2022 deadline. During the session, representatives from both the FCA and PRA presented feedback and responded to industry queries. The regulators were keen to remind...
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In December 2021, the FCA published its proposals for improving the oversight of appointed representatives. Regulatory expectations: The FCA is looking to reduce harm to consumers by strengthening the appointed representatives regime. From its thematic reviews of...
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Whilst it is not the regulator’s objective to prevent firms from failing, where a firm does fail, the aim is to manage this in an orderly manner. Hence the basic capital resources requirement for all regulated firms. The regulator aims to avoid disorderly failure,...
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