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 [...]
2020 – Into the Murk? 5th Anti-money Laundering Directive
As 2020 opens and we gaze into the crystal ball for the year ahead, the picture has never been more hazy. [...]
Christmas tips from the Enforcement Department
Christmas tips from the Enforcement Department News reaches us from [...]
Adequate Financial Resources – what are they? Who Knows…
All firms should be concerned about FCA’s proposals for Adequate Financial Resources, contained in CP 19/20. [...]
Appointed Reps – writing on the wall?, No retail, no worries?
Life as an Appointed Representative (AR) is going to get harder. FCA continues to turn the screws on [...]
SMCR – First Quarter Down, What if? Brexit – last orders?
Firms’ implementation of FCA’s Senior Managers and Certification Regime (SMCR) should now be [...]