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Firms told to study the effect of five UK equivalence decisions on post-Brexit business
By Neasa MacErlean
Online Published Date:
11 November 2020
Appeared in issue:
Vol 33 No 4 - 11 November 2020
Compliance team had minimal role in broker firm fined £3.4m over fictitious trades
By Neasa MacErlean
Online Published Date:
25 November 2020
Appeared in issue:
Vol 33 No 4 - 11 November 2020
Firms to be invited to join industry working group on productive finance
By Neasa MacErlean
Online Published Date:
01 December 2020
Appeared in issue:
Vol 33 No 4 - 11 November 2020
FCA underlines benefits of RegData as Gabriel migration moves into final stages
By Neasa MacErlean
Online Published Date:
01 December 2020
Appeared in issue:
Vol 33 No 4 - 11 November 2020
Payment deferrals to end in July 2021 under Covid consumer-lending guidelines
By NeasaMacErlean
Online Published Date:
01 December 2020
Appeared in issue:
Vol 33 No 4 - 11 November 2020
Mortgage guidance updated for borrowers with Covid-related payment problems
By Neasa MacErlean
Online Published Date:
02 December 2020
Appeared in issue:
Vol 33 No 4 - 11 November 2020
FCA calls halt to projects on Single Cash Savings Rate and banning Platform Exit Fees
By Neasa MacErlean
Online Published Date:
02 December 2020
Appeared in issue:
Vol 33 No 4 - 11 November 2020
FCA to discuss status of MiFID II transparency calibrations with trading venues
By Neasa MacErlean
Online Published Date:
02 December 2020
Appeared in issue:
Vol 33 No 4 - 11 November 2020
Autumn leaves: papers on insurance governance
A flurry of recent documents from the Financial Conduct Authority have targeted the insurance industry’s product governance with a series of reporting and value measures. Adam Samuel rakes through the implications for firms.
Online Published Date:
07 December 2020
Appeared in issue:
Vol 33 No 4 - 11 November 2020
Two roads diverge – but by how much?
The United Kingdom is about to forge its own path outside the European Union but, for financial services, much will depend on whether Britain’s future regulatory regime will continue to align, or cut loose and risk being deemed not ‘equivalent’ in prescribed areas by the EU. Neasa MacErlean discusses different approaches in view.
Online Published Date:
07 December 2020
Appeared in issue:
Vol 33 No 4 - 11 November 2020
Pointers on fitness and propriety assessments
Though the deadline to complete their first round of F&P assessments has been pushed back to the end of March, solo-regulated firms have this issue high on their agenda. Jill Lorimer and Nick Ralph provide practical tips from regulatory and employment law points of view.
Online Published Date:
07 December 2020
Appeared in issue:
Vol 33 No 4 - 11 November 2020
Operational resilience proposals: prepare for the worst
Severe disruptive events are inevitable and financial institutions must plan for maintaining supply of their core products and services, say the UK regulators. Steven Francis and Sara Evans discuss the proposed operational resilience regime, its most challenging aspects and what firms can work on right away.
Online Published Date:
07 December 2020
Appeared in issue:
Vol 33 No 4 - 11 November 2020
Navigating regulation in 2021
The final Brexit negotiations are going down to the wire and the pressing question for financial services businesses is simple – ‘What rules do I follow?’ Emma Radmore outlines what the regulators have been doing and what firms should be attending to now.
Online Published Date:
08 December 2020
Appeared in issue:
Vol 33 No 4 - 11 November 2020
Complying with SMCR during coronavirus
Acknowledging the unusual pressures that financialinstitutions have faced this year, the regulators have sought to uphold the objectives of the Senior Managers and CertificationRegime while also providing guidance and some flexibility. Charlotte Hill and Daniel Hirschfield report onfirms’ governance arrangements amid the Covid-19 crisis.
Online Published Date:
08 December 2020
Appeared in issue:
Vol 33 No 4 - 11 November 2020
Silence in the City – whistleblowers in the wilderness
Despite financial services firms’ legal and regulatory obligations, employees who raise misconduct concerns about their workplace report that reprisals are still commonplace. Denis O’Connor examines the latest findings from whistleblowing charity Protect.
Online Published Date:
08 December 2020
Appeared in issue:
Vol 33 No 4 - 11 November 2020