Viewing post categorized under: Regulatory Hosting
December Monthly Regulation Update
By Kyte Ekstrom | Agent Relationship, AML, Appointed Agent, Appointed Representative, E Money, FCA Regulation, Financial Promotions, FinTech, Investment, Investment Advisor, Investment Funds, Investment Manager, payments, Pensions, Regulatory Hosting, Umbrella Services | 0 Comments
December Headlines General Regulation– HM Treasury publishes Consultation Paper – Financial Promotion Exemptions– House of Commons Publishes Letter – Future of the UK and EU AML/CFT Regimes– FCA Publishes Consultation Paper (CP21/34)- Improving the Appointed Representatives Regime Payment Services, E-Money & Open Banking– FCA publishes Policy Statement (PS21/19) – Strong Customer Authentication– Transparency International UK publishes […]
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To AR or NOT to AR, that is the Question…
By Simon Hill | Agent Relationship, Appointed Agent, Appointed Representative, Compliance, Insurance, Insurance Broker, Investment, Investment Advisor, Investment Manager, Regulatory Hosting, Umbrella Services | 0 Comments
As the new year draws ever closer, and the FCA prepares to usher in the new era of the Investment Firms Prudential Regime (IFPR) – which brings with it increased capital requirements and a more onerous approach to risk management – start-up firms with ambitions of carrying on regulated activities may already be re-thinking the […]
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