Viewing post categorized under: Regulatory Hosting

Good Principals Have Good Principles: a look at the FCA’s review of the Authorised Representative Regime

By Kyte Ekstrom | Agent Relationship, Appointed Agent, Appointed Representative, Appointed Representatives Regime, Principal Firms, Regulatory Hosting, Umbrella Services | 0 Comments

On 3 December last year, the FCA launched a consultation on improving the appointed representatives (AR) regime. The proposed changes seek to place greater compliance responsibilities on firms involved in the regime. I’ll be exploring some of the reasons behind the review and the recommendations made by the regulator. What is the AR regime? The […]

Read More
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 […]

Read More
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 […]

Read More

Archives
Categories