FCA Regulation

Topics

Proof of deposit UK or abroad Proof of deposit UK or abroad by Anonymous 1	26 replies 346 views 0 likes	Anonymous 10 Oct 2023
2 interesting stories today! Are we funding the FCA's cock ups?! 2 interesting stories today! Are we funding the FCA's cock ups?! by	3 replies 310 views 1 likes	Anonymous 3 Oct 2023
FCA - "Advice / guidance boundary could lead to wholesale restructuring of advice regime" FCA - "Advice / guidance boundary could lead to wholesale restructuring of advice regime" by	3 replies 175 views 1 likes	Anonymous 26 Sep 2023
Are over a third of clients really 'vulnerable'? Are over a third of clients really 'vulnerable'? by	9 replies 237 views 0 likes	Anonymous 15 Sep 2023
FCA time wasters FCA time wasters by Anonymous 1	13 replies 475 views 12 likes	Anonymous 11 Sep 2023
FCA takes first action - Consumer Duty FCA takes first action - Consumer Duty by	6 replies 322 views 1 likes	Anonymous 4 Sep 2023
Broker who is FCA Registered but domiciled in EU Broker who is FCA Registered but domiciled in EU by Anonymous 1	9 replies 223 views 2 likes	Anonymous 19 Aug 2023
In terms of wording or documentation, will you be giving your Clients anything different from Consumer Duty Day? In terms of wording or documentation, will you be giving your Clients anything different from Consumer Duty Day? by	67 replies 1,441 views 15 likes	Anonymous 4 Aug 2023
More BS on the way- Core Advice More BS on the way- Core Advice by	4 replies 113 views 1 likes	Anonymous 3 Aug 2023
Vulnerable clients anyone going to be doing this?! Vulnerable clients anyone going to be doing this?! by	32 replies 724 views 21 likes	Anonymous 3 Aug 2023
Consumer duty (not mortgages) Consumer duty (not mortgages) by	3 replies 102 views 0 likes	Anonymous 2 Aug 2023
Owning shares Owning shares by	6 replies 187 views 0 likes	Anonymous 13 Jul 2023
Consumer Duty Consumer Duty by	95 replies 2,390 views 41 likes	Anonymous 6 Jul 2023
FCA to increase scrutiny of ARs.... FCA to increase scrutiny of ARs.... by Anonymous 1	15 replies 513 views 0 likes	Anonymous 5 Jul 2023
Quick question Quick question by	4 replies 137 views 0 likes	Anonymous 4 Jul 2023
FIN074-Economic Crime Levy - what is the definition of income ? FIN074-Economic Crime Levy - what is the definition of income ? by	11 replies 226 views 1 likes	Anonymous 17 May 2023
Will your fees have to be increased to cope with Customer Duty? Will your fees have to be increased to cope with Customer Duty? by	7 replies 181 views 4 likes	Anonymous 16 May 2023
Whistleblowers ‘brushed aside’ by FCA with ‘no real consequences’ for culprits Whistleblowers ‘brushed aside’ by FCA with ‘no real consequences’ for culprits by Anonymous 1	2 replies 250 views 1 likes	Anonymous 10 May 2023
consumer duty attestation consumer duty attestation by	8 replies 227 views 2 likes	Anonymous 5 May 2023
Getting inundated with Lender Emails about Consumer Duty Getting inundated with Lender Emails about Consumer Duty by	15 replies 223 views 8 likes	Anonymous 3 May 2023
quick question - my company bank account quick question - my company bank account by	14 replies 237 views 7 likes	Anonymous 26 Apr 2023
Network using AI to flag vulnerable clients Network using AI to flag vulnerable clients by	21 replies 433 views 17 likes	Anonymous 27 Mar 2023
SUBMISSION FOR FIRM DETAILS ATTESTATION SUBMISSION FOR FIRM DETAILS ATTESTATION by	37 replies 827 views 3 likes	Anonymous 27 Mar 2023
Consumer Duty Consumer Duty by	8 replies 346 views 6 likes	Anonymous 22 Mar 2023
Here's a new one! Here's a new one! by	0 replies 107 views 0 likes	Anonymous 15 Mar 2023
FCA questionnaire FCA questionnaire by Anonymous 1	4 replies 104 views 0 likes	Anonymous 4 Mar 2023
PI insurance PI insurance by	9 replies 164 views 0 likes	Anonymous 26 Feb 2023
Money Laundering - where does the buck stop Money Laundering - where does the buck stop by	1 replies 136 views 1 likes	Anonymous 15 Feb 2023
FCA approach to incorporation FCA approach to incorporation by Anonymous 1	1 replies 89 views 0 likes	Anonymous 15 Feb 2023
REP022 Gi Attestation REP022 Gi Attestation by	12 replies 145 views 1 likes	Anonymous 11 Feb 2023
GI return GI return by	12 replies 325 views 4 likes	Anonymous 3 Jan 2023
returns section RMA-J returns section RMA-J by	12 replies 188 views 4 likes	Anonymous 16 Dec 2022
CONSUMER DUTY - Pool Our Resources CONSUMER DUTY - Pool Our Resources by	20 replies 677 views 5 likes	Anonymous 14 Dec 2022
FCA Returns FCA Returns by	11 replies 215 views 1 likes	Anonymous 16 Nov 2022
How does this fit with the support we get from most Lenders? How does this fit with the support we get from most Lenders? by	10 replies 310 views 4 likes	Anonymous 7 Nov 2022
Dear CEO Letter (Consumer Duty) Dear CEO Letter (Consumer Duty) by	10 replies 383 views 2 likes	Anonymous 2 Nov 2022
Passing Off / Scammers Passing Off / Scammers by	11 replies 411 views 0 likes	Anonymous 1 Nov 2022
If this was a complaint... If this was a complaint... by	20 replies 470 views 4 likes	Anonymous 12 Oct 2022
Consumer duty Consumer duty by	2 replies 221 views 0 likes	Anonymous 3 Oct 2022
Gabriel Return - Time Periods Gabriel Return - Time Periods by	8 replies 154 views 0 likes	Anonymous 9 Sep 2022