Thu, Dec 9, 2021

Regulatory Focus - December 2021

In this edition of Regulatory Focus, Kroll’s compliance experts round up key news and publications from the FCA during October, November and 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

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