Your November update from AMI Chief Executive Robert Sinclair

AMI Chief Executive Robert Sinclair gives his November update, including AMI’s Protection Viewpoint, market conditions and future challenges for advisers…

Making the most of AMI Protection Viewpoint findings

AMI’s 2023 Protection Viewpoint report ‘The Perception Gap’ is packed full of findings and insight aimed at mortgage intermediaries…

Consumer Duty – an update

Key Consumer Duty developments and recent communications issued by both AMI and the FCA, with commentary on implications for mortgage intermediary firms…

AR regime – updated AMI Q&A and deadline reminder

Having heard back from the FCA, we have updated AMI’s Q&A documenton the AR regime. We also wanted to remind firms of the upcoming 30 November 2023 deadline…

FCA application window open for firms approving promotions for unauthorised persons

Firms that approve financial promotions for unauthorised persons have until 6th February 2024 to apply for approver permission from the FCA…

FSCS levy and compensation figures update

The FSCS has released an update on its levy and compensation figures for 2023/24, as well as anticipated levy figures for 2024/25…

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FCA Financial Resilience Survey

Survey

Between 14th February – 17th February 2023 firms will receive, via e-mail, a Financial Resilience Survey from the FCA (firms with investment business/linked to a parent firm with investment business may receive this earlier, between 7 February-10 February 2023).

If your firm receives the survey, completion is mandatory under section 165 of the Financial Services and Markets Act (FSMA). The e-mail from the FCA should confirm when the survey is to be completed by.

The FCA has proposed to replace the Financial Resilience Survey with a permanent regulatory return. This has not yet been confirmed (we are expecting an update by summer 2023) and therefore firms should continue to complete the survey in the usual way.

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