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We are now a full year on following the implementation of the Financial Conduct Authority’s (FCA) Investment Firms Prudential Regime...
Active Portfolio Management of diverse fund types by an individual Portfolio Manager (“PM”) or an Investment Management team without...
In our blog post published in November, we highlighted that preparation in respect of k-factor calculations and reporting may require...
Here are six key areas to consider when preparing for the UK implementation of IFPR; 1. Governance and oversightIs your Board and Senior...
In our previous blog we highlighted some key questions that Senior Management Function holders (SMFs) may wish to consider as they...
As firms and their workforces continue to adapt to largely unanticipated risks and challenges, as well as new ways of working, the...
On 9 December 2019, 47,000 Financial Conduct Authority (FCA) solo regulated firms became subject to the Senior Managers and Certification...
On 13 June 2019, the FCA addressed a Dear CEO letter to Wealth Management and Stockbroking firms setting out its view of the key risks of...