WebI am a high calibre mid-senior level compliance professional specialising in wealth management and private banking sectors - and now with some fintech experience. I have over 10 years of compliance experience working predominantly in the retail client sector but I also have also worked in the institutional client sector. I have a passion for learning the … WebNov 1, 2024 · The FCA will need to be, and remain, satisfied that remote working, or move to a non-centralised location, doesn’t affect the ability to meet threshold conditions or oversee its functions, including outsourced functions. The FCA needs to be able to have ongoing access to firms, records and employees. This is wherever they work including at ...
Joint statement by the FCA, PRA, TPR and FRC on the publication …
Firms should consider if their details on the FS Register need updating. For example, if your firm intends to use a private residential address as its principal place of business, it should consider the effect on any individuals – including those living at the property who aren't employees – and get the necessary … See more Firms should be able to prove that the lack of a centralised location or remote working does not or is unlikely to: 1. affect the firm’s location in the UK, or its ability to meet and continue to … See more Any material changes to how your firm intends to operate may require you to notify us first. Under Principle 11 of the FCA’s Principles for … See more WebApr 13, 2024 · The FCA has published a Dear CEO letter outlining their priorities for payments firms. Jarred Erceg and Claire Martin look at regulatory expectations, focussing on FCA requirements for prudential risk management, stress-testing, and wind-down planning. On March 16, the FCA issued a Dear CEO letter to payment firms, notable for … strengths and weaknesses of vrio framework
FCA guidance on TCFD disclosure requirements for listed companies
WebApr 30, 2024 · Regulators expect firms to access their governance models and ensure appropriate governance arrangements have been adopted for a healthier … WebJan 5, 2024 · Fall 2024 Regulatory Projects Plan. This rulemaking would foster an increased activity by direct lender associations in the Young, Beginning and Small … WebNov 16, 2024 · The role of the Money Laundering Reporting Officer (MLRO) within authorised firms has been the subject of ever-growing scrutiny from the UK Financial Conduct Authority (FCA).In January 2024, the FCA issued written guidance to firms on applicant competency and capability and it has continued to demonstrate through recent … rowse clear honey