By Kyte Ekstrom | Brexit, Compliance, Covid 19, E Money, FCA Regulation, Financial Industries, FinTech, Insurance, Investment, Operational resilience, payments | 0 Comments
Our operational resilience survival guide is here! Simon Hill, Compliance Manager at FinTech Compliance, details the FCA’s expectations to help you comply with the new rules and guidance which come into force on the 31st of March 2022. In December 2019 the FCA, Bank of England (BoE), and PRA (aka the Holy Trinity of regulation), […]
Read MoreBy 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 MoreBy Kyte Ekstrom | Compliance, FCA Regulation, FinTech, Insurance, Insurance Broker | 0 Comments
The FCA are making BIG changes to the way insurers and insurance distributors will have to review all of their policies and models. The FCA are planning on scrapping the idea of ‘price-walking’ (referring to when new insurance customers receive more competitive and cheaper premiums), as this contends the FCA’s objectives for a fair and […]
Read MoreBy 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 […]
Read MoreBy Kyte Ekstrom | Compliance, Compliance Retainer Service, Consumer Credit, Crypto-Assests, E Money, FinTech, Insurance, Investment, payments | 0 Comments
Is your current compliance solution cutting the mustard? Show us the scope and cost of your current compliance retainer and we will endeavour to match or beat what you’re currently paying AND enhance the scope. There’s an offer you can’t refuse! On the fence? Then consider this… Are you a square peg in a round […]
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