Thu, Dec 9, 2021

Regulatory Focus - December 2021

In this edition of Regulatory Focus, Kroll’s compliance experts round up key news and publications from the FCA during October, November and December 2021.

December 9, 2021

FCA Key Topics - October-December 2021

December 9, 2021

FCA Updates – November - December 2021

December 9, 2021

FCA Updates - October 2021

December 9, 2021

FCA Key Topics

The new prudential rules and the ICARA process starting in January 2022
Regulatory technical standards - delayed application
Proposals for stronger requirements on oversight appointed representatives

FCA Updates – November - December

Drivers of change in the financial services industry
How the FCA is committed to helping investors consider ESG as part of investment decisions
A strategy for positive sustainable change
Digital regulation cooperation forum
A joint memorandum of understanding signed with the FMSB

FCA Updates – October

FCA writes to a further 950 DP pension advice customers
Investment Firms Prudential Regime final rules published
Financial regulators publish fourth edition of plan for upcoming work

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