Investment Firms Prudential Regime, Diversity, Dear CEO
With just about three months left before the implementation date of the new IFPR, MiFID firms will be [...]
FCA CP 21/27 – New Prudential Regime for MiFID firms: 2nd paper
For the exclusive use of the clients of Fulcrum Compliance Ltd. It is not intended as a comprehensive guide to FCA’s Consultation Paper.
Get back, Underperforming, Overreaching
Get back As we inch along the road map to [...]
FCA CP 20/24 – New Prudential Regime for MiFID firms
For the exclusive use of the clients of Fulcrum Compliance Ltd. It is not intended as a comprehensive guide to FCA’s Consultation Paper.
Winter is coming… but not just yet, Finish what you started
Winter is coming... but not just yet We wrote in [...]
Capital, capital, Just when you thought it was safe
On 23 June, FCA published a Discussion Paper setting out its proposals for implementing a new prudential [...]
Covid-19 & Culture – Compliance Update
It seems like ages since our last Newsletter - in [...]
Covid-19 Special Edition, Everything’s Different…
We thought we’d dedicate this issue of the Fulcrum Compliance Newsletter to Covid-19 issues. [...]
Who Do You Trust?, Covid-19, Beware FCA Scams
Firms must consider whether they need to do credit and criminal records checks on all staff [...]
Check your details! New Year, New Enthusiasm
Important: FCA requirement to update or confirm your firm details [...]