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Monitoring, insight, reaction...

30Jan2020

News : FCA Publishes Handbook Notice 73

The FCA has published Handbook Notice 73 in relation to the following instrument titles : Exiting the EU: Implementation Period (Guidance) / Exiting the EU: Deferral of Commencement & Misc Fees Instrument / Supervision Manual / Mortgages (Advice) / Fees (Cryptoasset Business) / Conduct of Business Sourcebook (Independent Governance Committees). A PDF of the Handbook
  • 30 Jan, 2020
  • Quinapalus
  • 0 Comments
  • FCA, FCA Hanbook,
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31Dec2019

News : FCA Publishes Handbook Notice 72

The FCA has published Handbook Notice 72 in relation to the following instrument titles : Fees (Office for Professional Body Anti-Money Laundering Supervision) / Listing Rules & Disclosure Guidance and Transparency Rules / Alternative Investment Fund Managers Directive / Conduct of Business Sourcebook (Platform Switching) / Conduct of Business (Speculative Illiquid Securities). A PDF of
  • 31 Dec, 2019
  • Quinapalus
  • 0 Comments
  • FCA, FCA Hanbook,
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30Nov2019

News : FCA Publishes Handbook Notice 71

The FCA has published Handbook Notice 71 in relation to the following instrument titles : Over-the-Counter Derivatives, Central Counterparties & Trade Repositories / Supervision Manual (Reporting) / Training & Competence / Exiting the EU : Dispute Resolution : Complaints / Mortgages (Responsible Lending). A PDF of the Handbook Notice can be downloaded here : HN71
  • 30 Nov, 2019
  • Quinapalus
  • 0 Comments
  • FCA, FCA Hanbook,
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30Oct2019

News : FCA Publishes Handbook Notice 70

The FCA has published Handbook Notice 70 in relation to the following instrument titles : Fees (Misc Amendments) / Supervision Manual (Reporting) / Conduct of Business Sourcebook (Retirement Outcomes) / Mortgages (Regulatory Reporting) / Overdrafts (Information & Tools). A PDF of the Handbook Notice can be downloaded here : HN70
  • 30 Oct, 2019
  • Quinapalus
  • 0 Comments
  • FCA, FCA Hanbook,
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01Aug2019

News : FCA Publishes newsletter, Market Watch 60

The FCA has published its newsletter, Market Watch 60, sharing their concerns and findings about control of access to inside information as well as highlighting their thematic review of money laundering risks in capital markets. A PDF of the Newsletter can be downloaded here : MW60
  • 1 Aug, 2019
  • Quinapalus
  • 0 Comments
  • Inside Information, Money Laundering,
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26Jul2019

News : FCA Publishes Policy Statement, PS19/20

The FCA has published a new Policy Statement (PS19/20) summarising the feedback to the Consultation Paper CP19/4 concerning optimising the Senior Managers & Certification Regime (SM&CR). A PDF of the Statement can be downloaded here : PS19/20
  • 26 Jul, 2019
  • Quinapalus
  • 0 Comments
  • FCA, Senior Managers and Certification Regime, SM&CR,
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30Jun2019

Half Yearly Product Update

In the first half of 2019, a number of new features have been added to the 4TEUS GRCS product:  Metrics Module : Key Performance Indicators (KPIs) for Risks & Controls can now be documented within their own register, together with any target or limit figures.  A ‘current’ figure will then be used to determine a ‘variance’
  • 30 Jun, 2019
  • Quinapalus
  • 0 Comments
  • GDPR, KPIs,
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31May2019

News : FCA Publishes Policy Statement, PS19/12

The FCA has published a new Policy Statement (PS19/12) setting out the ‘near-final’ rules on the changes planned to make to the FCA Handbook to align it with the EU Prospectus Regulation. This follows feedback sought within Consultation Paper CP19/6. A PDF of the Statement can be downloaded here : PS19/12
  • 31 May, 2019
  • Quinapalus
  • 0 Comments
  • FCA,
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