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Tag: Approved Persons

Complyport UK Consultancy Service > Approved Persons
  • 23 November 201724 November 2017
  • Corporate Governance

FCA CP17/37 Industry Codes of Conduct and Discussion on Principle 5 Market Conduct

Of relevance to: Authorised firms, particularly those already subject to the Senior Managers and Certification Regime, including banks, building societies, credit unions and certain large investment banks Key date: Comments […] [...]

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  • 08 September 201429 July 2016
  • Latest News

Changes to Companies Act

The ‘Small Business, Enterprise and Employment Bill’ is progressing through Parliament. Aside from topics ranging from zero hours contracts to public houses code via childcare and schools, some changes to […] [...]

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  • 02 November 201216 September 2016
  • Latest News

Reform of Approved Persons Regime

More changes to the Handbook arising from the impending move from the FSA to the FCA/PRA regime are proposed in CP12/26 ‘Regulatory reform: the PRA and FCA regimes for Approved […] [...]

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  • 02 June 201118 July 2018
  • Latest News

Controlled Function CF10a

As mentioned in previous Regulatory Roundups e.g. issues 23 & 28, CASS medium and large firms (see article above on CMAR for criteria) need to allocate the new function of […] [...]

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  • 02 June 201113 February 2017
  • Latest News

Cold-shouldering

Some firms may have been in receipt of a ‘Dear Compliance Officer’ letter reminding them of the ‘cold-shouldering’ imposed by the Takeover Panel on three individuals. The concept of cold-shouldering […] [...]

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  • 01 April 201113 February 2017
  • Latest News

Delay To Controlled Functions Changes

Regulatory Roundup 22 updated firms on proposed changes to the Approved Persons regime set out in PS10/15 (‘Effective corporate governance’). Highlights included the removal of the CF28 (Systems and Controls) […] [...]

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  • 10 February 201115 February 2017
  • Latest News

Shadow Partner Banned

In June of last year Vantage Capital Markets LLP (VCM), an inter-dealer broker, was subject to a fine of £700K arising from the activities of Daniel Hassell. Mr Hassell’s former […] [...]

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  • 09 December 201015 November 2017
  • Latest News

CASS & a New Operational Oversight Function

There are big changes to CASS coming up which include a new control function and the need to complete a Client Money and Asset Return (‘CMAR’), As mentioned in Regulatory […] [...]

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  • 20 October 201015 March 2017
  • Latest News

Important Changes to Approved Persons Regime

The recent speech by Rosalie Langley Judd (see the next article on Corporate Governance) follows the release of FSA Policy Statement PS10/15. PS10/15 is the follow up to Consultation Paper […] [...]

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  • 26 July 201011 May 2017
  • Latest News

A technical correction to CF29 applicability

Following the FSA’s recent review of the Handbook they propose correcting a technical error in SUP 10.9.1R that sets out the types of firm where the significant management function (CF29) […] [...]

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  • 01 April 201015 November 2017
  • Latest News

CASS Consultation Paper

The FSA has released Consultation paper CP10/9 – “Enhancing the Client Assets Sourcebook”. Proposals include greater transparency requirements by UK authorised prime brokers (‘PBs’) in respect of re-hypothecation provisions by […] [...]

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  • 08 February 201028 June 2017
  • Latest News

Corporate Governance

The FSA has issued Consultation Paper CP10/03: ‘Effective corporate governance’. As we all know, the FSA places considerable emphasis on good corporate governance and is a subject matter that can […] [...]

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  • 16 October 200927 July 2017
  • Latest News

Approved persons & significant influence functions (SIFs)

The FSA has sent a ‘Dear CEO’ letter to 5,000 regulated firms to reinforce how the FSA’s intensive regulatory approach (‘more intrusive approach’ is used in the letter) applies to […] [...]

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  • 29 September 200927 July 2017
  • Latest News

Approved persons

As you’ll know, one of the outputs of PS09/14 was that the scope and application of CF1 (director function) and CF2 (non-executive director function) was extended to capture individuals such […] [...]

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The Regulatory Gateway for Financial Promotions is Here

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Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024

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Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024

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