Shipleys LLP
Chartered accountants and professional business advisers

Financial Services Update May 2021

The latest on the New Prudential Regime, Long Term Investment Funds, The new Financial Services Act and more.

Payment and E-Money Firms Safeguarding Audit

The FCA now requires firms covered by Payment Service and Electronic Money Regulations to have an ‘Annual Audit of Compliance with Safeguarding Requirements’.

Financial Services Update December 2020

Delays in the New Prudential Regime and Senior Manager and Certification Regime, plus preparing for Brexit.

Financial Services Update – August 2020

Coronavirus measures from the FCA, FCA Connect and GABRIEL, ICT Guidelines, REP008 forms and more

Financial Services Update - May 2020

FCA guidance in response to Coronavirus, the new Prudential Regime and preparing for Brexit

Financial Services Update - January 2020

What's next with Brexit, changes to the Senior Manager and Certification Regime (SM&CR) and more

Financial Services Update - September 2019

Brexit, Senior Manager and Certification Regime and more

New Capital Requirements for Investment Firms

The FCA in conjunction with the EBA has finalised guidance on a major overhaul of capital requirements for investment firms.

Financial Services Update - April 2019

Brexit, MIFID IT systems reporting, COREP, and more

Financial Services Update – October 2018

Brexit, PSPs and e-money providers, and more

Financial Services Update – July 2018

Investment Funds, Independent Directors, Movement between share classes, and more

Solicitors Accounts Rules Update

Common mistakes under the current rules and the proposed new rules to apply from April 2019

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