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Financial services

Financial Services Update September 2021
September 3, 2021
In this issue we have a special on the New Prudential Regime - IFPR - covering its implications for investment firms and preparation considerations.
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Financial Services Update May 2021
May 11, 2021
The latest on the New Prudential Regime, Long Term Investment Funds, The new Financial Services Act and more.
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Payment and E-Money Firms Safeguarding Audit
February 16, 2021
The FCA now requires firms covered by Payment Service and Electronic Money Regulations to have an ‘Annual Audit of Compliance with Safeguarding Requirements’.
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Financial Services Update December 2020
December 15, 2020
Delays in the New Prudential Regime and Senior Manager and Certification Regime, plus preparing for Brexit.
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Financial Services Update – August 2020
August 28, 2020
Coronavirus measures from the FCA, FCA Connect and GABRIEL, ICT Guidelines, REP008 forms and more
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Financial Services Update – May 2020
May 18, 2020
FCA guidance in response to Coronavirus, the new Prudential Regime and preparing for Brexit
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Financial Services Update – January 2020
January 9, 2020
What's next with Brexit, changes to the Senior Manager and Certification Regime (SM&CR) and more
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Financial Services Update – September 2019
September 17, 2019
Brexit, Senior Manager and Certification Regime and more
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New Capital Requirements for Investment Firms
May 22, 2019
The FCA in conjunction with the EBA has finalised guidance on a major overhaul of capital requirements for investment firms.
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Financial Services Update – April 2019
April 12, 2019
Brexit, MIFID IT systems reporting, COREP, and more
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Financial Services Update – October 2018
October 31, 2018
Brexit, PSPs and e-money providers, and more
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Financial Services Update – July 2018
July 18, 2018
Investment Funds, Independent Directors, Movement between share classes, and more
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Solicitors Accounts Rules Update
June 14, 2018
Common mistakes under the current rules and the proposed new rules to apply from April 2019
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Financial Services Update – February 2018
February 15, 2018
New Capital Requirements, FCA and Distributed Ledger Technology, and more
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