Since July 2022 when the FCA published itsrules and guidanceto implement the Consumer Duty, much ink has been spilled on what it will mean for affected firms. Now, with the clock ticking down to implementation on 31 July 2023, the FCA has published the findings of its review of a number ...
which sets out the final rules for sustainability disclosure and investment labels (SDR Rules). The market has been anticipating this development since the FCA released its consultation paper on the draft SDR Rules in October 2022 (SDR Consultation). See our ...
Liquidity management:The liquidity stress testing guidelines issued by the European Securities and Markets Authority should be incorporated into the FCA’s rules and guidance to ensure that all asset managers carry out liquidity stress tests. Investment due diligence:The expectations and requirements for ...
ShareDOWNLOAD On 28 November 2023, the UK’s Financial Conduct Authority (FCA) published its Policy Statement (PS23/16) ‘Sustainability Disclosure Requirements (SDR) and Investment Labels’. The FCA states that PS23/16 contains its final rules and guidance to, amongst other things, improve trus...
The Financial Conduct Authority (FCA) has published Policy Statement (PS) 23/16 ‘Sustainability Disclosure Requirements (SDR) and investment labels’ which contains the FCA’s final rules and guidance to improve trust and transparency to the market for sustainable investment...
The FCA have noted that they are giving further consideration to such a structure and how it could be implemented under the Listing Rules, noting that they will engage with SPACs on a case by case basis and may potentially issue further guidance in due course. This would be welcome, as in...
a3.7 The PRA and FCA each maintain a body of rules and guidance applicable to firms under their supervision. These are commonly referred to as the “PRA Handbook” and “FCA Handbook” respectively. The rules contained in these handbooks are derived from the requirements of both national and ...
Inception - You may need advice on becoming authorised by the FCA or on the capital resource requirements that you must meet. Compliance - advice on the latest FCA amendments, rules and guidance. Reporting – both financial and the preparation and filing of FCA returns on your behalf....
Compliance with FCA rules and guidance is the basis of our service. Compliance Services for FCA Firms 1234We make sure your regulatory responsibilities are fulfilled while you concentrate on looking after your clients and running your business. We cover all aspects of the FCA compliance process and...
The FCA recently published its Consultation Paper on Rules relating to Securitisation. This follows the publication by HM Treasury of the near-final draft of the Securitisation Regulations 2023 and the publication by the PRA of a consultation paper setting out its proposed rules for PRA-authorised ...