Regulatory Focus – December 2021

FCA Key Topics

• The new prudential rules and the ICARA process starting in January 2022
• Regulatory technical standards - delayed application
• Proposals for stronger requirements on oversight appointed representatives

FCA Updates – November - December

• Drivers of change in the financial services industry
• How the FCA is committed to helping investors consider ESG as part of investment decisions
• A strategy for positive sustainable change
• Digital regulation cooperation forum
• A joint memorandum of understanding signed with the FMSB

FCA Updates – October

• FCA writes to a further 950 DP pension advice customers
• Investment Firms Prudential Regime final rules published
• Financial regulators publish fourth edition of plan for upcoming work