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29Mar2019

News : FCA Publishes Policy Statement, PS19/9

The FCA has published a new Policy Statement (PS19/9) about the application of the Senior Managers & Certification Regime (SM&CR) to Claims Management Companies. A PDF of the Statement can be downloaded here : PS19/9
  • 29 Mar, 2019
  • Quinapalus
  • 0 Comments
  • FCA, Senior Managers and Certification Regime, SM&CR,
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08Mar2019

News : FCA Publishes Final Guidance, FG19/2

The FCA has published Final Guidance (FG19/2) to provide practical assistance and information to solo-regulated firms when preparing their Statements of Responsibilities for the Senior Managers & Certification Regime (SM&CR). A PDF of the Guidance can be downloaded here : FG19/2
  • 8 Mar, 2019
  • Quinapalus
  • 0 Comments
  • FCA, Senior Managers and Certification Regime, SM&CR,
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04Feb2019

News : FCA Publishes Policy Statement, PS19/4

The FCA has published a new Policy Statement (PS19/4) following it study into the asset management market concerning the quality, comparability and robustness of information available to investors. This follows feedback sought within Consultation Paper CP18/9. A PDF of the Statement can be downloaded here : PS19/4
  • 4 Feb, 2019
  • Quinapalus
  • 0 Comments
  • FCA,
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28Jan2019

News : FCA Publishes Consultation Paper, CP19/6

The FCA has published its Consultation Paper (CP19/6) seeking feedback about the changes planned to make to the FCA Handbook to align it with the EU Prospectus Regulation. A PDF of the Paper can be downloaded here : CP16/6
  • 28 Jan, 2019
  • Quinapalus
  • 0 Comments
  • EU Prospectus Regulation, FCA,
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23Jan2019

News : FCA publishes Consultation Paper, CP19/4

The FCA has published its Consultation Paper (CP19/4) seeking responses to their proposals concerning various areas within the Senior Managers & Certification Regime (SM&CR).   Responses are required by 23 April 2019.  A new Policy Statement is then expected in Q3, 2019. A PDF of the Paper can be downloaded here : CP19/4
  • 23 Jan, 2019
  • Quinapalus
  • 0 Comments
  • FCA, Senior Managers and Certification Regime, SM&CR,
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21Dec2018

Annual Product Update : 2018

2018 : this year saw a number of new enhancements and examples of clients using the system in new, innovative ways: CASS Framework : A ‘pre-populated’ CASS register with all the current rules has helped a number of firms to document better and evidence their CASS obligations with the FCA. [A similar Framework has now been
  • 21 Dec, 2018
  • Quinapalus
  • 0 Comments
  • Assets, Breaches, CASS, GDPR, ICAAP, Incidents, KPIs, Pillar II,
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01Aug2018

News : FCA publishes its Consultation Paper CP18/22 regarding Handbook changes to reflect the EU Securitisation Regulation

The Securitisation Regulation and related amendment to the Capital Requirements Regulation (CRR) entered into force on 18 January 2018. Most of their provisions will come into effect on 1 January 2019. The FCA is consulting on a number of changes to ensure that the Handbook is consistent with the directly applicable EU Securitisation Regulation and
  • 1 Aug, 2018
  • Quinapalus
  • 0 Comments
  • Capital Requirement Regulation, CRR, FCA, Securitisation Regulation,
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