Viewing post categorized under: Financial Promotions

July Monthly Regulatory Update

By Kyte Ekstrom | Compliance, Financial Promotions, FinTech | 0 Comments

FCA Publishes Dear Chair Letter and Guiding Principles – ESG and Sustainable Investment Funds The Dear Chair letter (dated the 19th of July) is addressed to the chairs of authorised fund managers (AFMs). The letter sets out ways of improving the quality and clarity of authorised environmental, social and governance (ESG) and sustainable investment funds. The FCA […]

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June Monthly Regulatory Update

By Kyte Ekstrom | Brexit, Compliance, Digital, FCA Regulation, Financial Industries, Financial Promotions, FinTech, Insurance, Investment, News, Pensions, regtech | 0 Comments

HM Treasury Consultation Response: Next Steps for Regulatory Framework on Approval of Financial Promotions HM Treasury has published a response to the July 2020 consultation on the regulatory framework for approval of financial promotions. The original consultation proposed to introduce a new FCA-operated regulatory ‘gateway’ through which authorised firms would need to pass before they […]

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May Monthly Regulatory Update

By Kyte Ekstrom | Brexit, Compliance, E Money, FCA Regulation, Financial Industries, Financial Promotions, FinTech, Investment, Investment Advisor, Investment Manager, News, payments, Pensions, regtech | 0 Comments

FCA Publishes Dear CEO Letter to E-money Firms on FSCS Protection The FCA has published a Dear CEO letter to e-money firms asking them to write to their customers to make clear how their money is protected. Firms must make it clear if the Financial Services Compensation Scheme (FSCS) does not apply. The FCA is concerned […]

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