Firms wishing to undergo a change in legal status will find that the process has changed, and they will now have to submit a full, new authorization application to the FCA.
Fri, Jul 23, 2021
FCA Changes Process for Firms Wishing to Change Their Legal Status
Regulatory Focus - June 2021
July 23, 2021
Changes to UK MiFID’s Conduct and Organizational Requirements
April 28, 2021
Compliance, Culture and Evolving Regulatory Expectations
March 31, 2021
Fake Emails Purporting to Come from the FCA
July 23, 2021
FCA and Bank of England Statement on LIBOR Transition
May 13, 2021
FCA Changes Process for Firms Wishing to Change Their Legal Status
July 23, 2021
FCA Fines Firm for Serious Financial Crime-Control Failings in Relation to Cum/Ex Trading
May 6, 2021
FCA Launches Consultation on Long-term Asset Fund (LTAF), Designed to Invest in Efficient Long-term Illiquid Assets, and Works on Liquidity Mismatch in Open-ended Property Funds
May 7, 2021
The FCA and Practitioner Panel Joint Survey for 2021 Launches
April 30, 2021
FCA Publishes a Consultation Paper on the Use of Its New Powers Under the Benchmarks Regulation to Facilitate LIBOR's Wind Down
May 20, 2021
Financial Services Regulatory Initiatives Grid
May 7, 2021
Firms Should Ensure That Permissions Are Reviewed Regularly
July 23, 2021
Levelling the Playing Field: Innovation in the Service of Consumers and the Market
April 20, 2021
Man Charged for Carrying Out Regulated Activities Without Authorization
May 20, 2021
Regulation for a Different World
May 6, 2021
All Reporting Firms Moved to FCA's New Data Collection Platform Regdata
May 19, 2021
The Rise in Scams and the Threat to a Legitimate Financial Services Industry
May 18, 2021
Second Consultation on New Prudential Regime for UK Investment Firms
April 19, 2021
When Do Senior Managers Have to Be Certified and Reported as Directory Persons?
July 23, 2021
Financial Services Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.
Kroll is headquartered in New York with offices around the world.
One World Trade Center
285 Fulton Street, 31st Floor
New York NY 10007
Sign up to receive periodic news, reports, and invitations from Kroll.
Our privacy policy describes how your data will be processed.
© 2024 Kroll, LLC. All rights reserved.
Kroll is not affiliated with Kroll Bond Rating Agency,
Kroll OnTrack Inc. or their affiliated businesses. Read more.