August 17 – Senior Managers & Certification Regime

BY IN Newsflash On 21st August 2017

The FCA has issued its first consultation on how the Senior Managers Regime, Certification Regime and Conduct Rules will apply to the remaining regulated firms. A second consultation on the technical aspects will be issued later this year. [...]

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August 17 – Nailed down

BY IN Article, FCA On 16th August 2017

After great deliberation, the FCA is now consulting on “Individual Accountability: Extending the Senior Managers and Certification Regime to all firms”.  This new regime will replace the existing Approved Persons regime and moves us from the reality of consumer detriment [...]

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August 17 – Still paying for the bad apples

BY IN Article, FCA On 16th August 2017

Contributions to the Financial Services Compensation Scheme continue to unfairly dwarf the other elements of firms’ regulatory bills. The invoices received last month reflect the predicted compensation costs for 2017/18. While these may be less than last year’s combined invoice [...]

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