News

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Delay to F&P Deadline for FCA Solo Regulated Firms

The deadline for solo-regulated firms to have undertaken the first assessment of the fitness and propriety of their Certified Persons has been delayed from 9 December 2020 until 31 March 2021.

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FCA Directory News

On the 9th February, the FCA issued a new multiple amendment template for the FCA Directory. This builds on the multiple add template published last year.

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FCA CP 16/29 MiFID II Consultation Paper III

Of particular relevance is section 14 – Knowledge and Competence requirements – which examines the impact these will have on competence management and T&C

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FCA FS16/6, FS 16/7, FS16/8, FS16/9

Valuable lessons and pointers for Accountability 1 and Accountability 2 (2018 extension) firms.

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FCA CP16/27 – Applying conduct rules to all NEDs

This is an important development, as part of the new account regimes, which will present additional challenges for firms.

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FCA CP16/26 – Guidance on duty of responsibility

Key guidance on what the regulator will expect Senior Manager Functions (SMFs) to evidence to demonstrate they have taken “reasonable steps”.