FCA Regulation

Topics

FCA Gateway User Research - New Form A FCA Gateway User Research - New Form A by	2 replies 76 views 0 likes	Anonymous 5 Feb 2024
REP019 General Insurance - Value Measures Report REP019 General Insurance - Value Measures Report by	7 replies 131 views 0 likes	Anonymous 8 Jan 2024
DA - FCA Application - How long did it take for authorisation? DA - FCA Application - How long did it take for authorisation? by	3 replies 202 views 4 likes	Anonymous 3 Jan 2024
Will small firms survive Customer Duty? Will small firms survive Customer Duty? by	13 replies 602 views 4 likes	Anonymous 12 Dec 2023
FCA to relax advice-guidance boundary in landmark review - Thoughts please FCA to relax advice-guidance boundary in landmark review - Thoughts please by	3 replies 236 views 2 likes	Anonymous 8 Dec 2023
Crime Levy Crime Levy by	3 replies 199 views 0 likes	Anonymous 20 Nov 2023
Do I need separate authorisation to do Lifetime Mortgages? Do I need separate authorisation to do Lifetime Mortgages? by	10 replies 302 views 7 likes	Anonymous 10 Nov 2023
beware FAKE FCA invoice reminders beware FAKE FCA invoice reminders by	5 replies 199 views 3 likes	Anonymous 26 Oct 2023
Financial resiliance Financial resiliance by	7 replies 301 views 2 likes	Anonymous 17 Oct 2023
FCA invoice FCA invoice by	25 replies 789 views 4 likes	Anonymous 13 Oct 2023
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 514 views 0 likes	Anonymous 5 Jul 2023
Quick question Quick question by	4 replies 138 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 251 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 166 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 146 views 1 likes	Anonymous 11 Feb 2023