November, 2021 - Complyport UK Consultancy Service

Implementation of Investment Firms Prudential Regime – Final Policy Statement – PS21/17

The FCA issued its third and final IFPR policy statement (PS21/17) on 26th November 2021. PS21/17 covered a wide range of subjects and tied up some of the loose ends […] [...]

As The Principal firm, Do You Know What Your Appointed Representatives Are Doing?

The FCA’s review of the use of Appointed Representatives (AR) is one of its current priorities, with increased levels of harm across all sectors by ARs being noted. Therefore in […] [...]

Summary: DP21/4: Sustainability Disclosure Requirements (SDR) and investment labels

The Discussion Paper (DP), DP21/4, maps out the FCA’s current stance in relation to a UK sustainable product labelling system, which will require certain investment products to display a label […] [...]

Martin Schofield to lead Complyport Financial Crime and Forensics Division

City of London, England, Nov.19 2021 Complyport a London based compliance and regulatory consultancy has today announced that it has appointed experienced financial crime prevention expert Martin Schofield who has […] [...]

FCA IFPR Newsletter – What to Expect

The FCA are intensifying their preparations for the launch of the IFPR regime in January 2022. It is critical that firms take the appropriate steps to be ready for the […] [...]

FCA Dear CEO letter – Wealth Management and Stockbroking Supervision Strategy

The FCA has recently published a Dear CEO letter providing an update of its view of the key harms faced by the financial services industry, their expectations from firms and […] [...]

The UK’s new authorised open-ended fund: the Long-Term Asset Fund (LTAF)

In October, the FCA published its Policy Statement ‘PS21/14: A new authorised fund regime for investing in long term assets’, which provides feedback to the May 2021 consultation, setting out […] [...]

Appointed Representative and Principal Regime Review

Review of the use of the Appointed Representatives’ (AR) regime is a priority for the FCA. The FCA has noticed an increased level of harm across all the sectors where […] [...]

Month: November 2021

Implementation of Investment Firms Prudential Regime – Final Policy Statement – PS21/17

As The Principal firm, Do You Know What Your Appointed Representatives Are Doing?

Summary: DP21/4: Sustainability Disclosure Requirements (SDR) and investment labels

Martin Schofield to lead Complyport Financial Crime and Forensics Division

FCA IFPR Newsletter – What to Expect

FCA Dear CEO letter – Wealth Management and Stockbroking Supervision Strategy

The UK’s new authorised open-ended fund: the Long-Term Asset Fund (LTAF)

Appointed Representative and Principal Regime Review

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