FinTech Compliance

#FCA Publishes Proposed Clarifications - Understanding the Scope of the #Consumer #Duty >> FCA guidance on helping firms understand the scope of the Consumer Duty > lnkd.in/ect7zxyj >> FCA Quarterly Consultation No 38 (CP22/26) > lnkd.in/ect7zxyj

FCA Publishes Policy Statement PS22/9 and Guidance - Consumer Duty Webpage > fca.org.uk/publications/poli… Press Release > fca.org.uk/news/press-releas…

#FCA Publishes Review of #ConsumerDuty #FairValueAssessments and provided some suggested areas of focus so that firms can be sure they are meeting the #regulators expectations when the Duty comes in on 31st July. Read the FCA’s full review and findings > fca.org.uk/publications/good…

Each month we publish a round-up of the latest regulatory updates, covering only the salient points, including links to relevant documents and webpages. Your one-stop-shop to staying compliant! Go to > bit.ly/400TR9k #fintechs #financialregulation #compliance

FCA Consultation Paper (CP22/27): Introducing a gateway for firms who approve financial promotions > lnkd.in/eSgB6bhg Webpage > lnkd.in/e6HTVX2M Press release > lnkd.in/g4YsG_qj #financialpromotions #financialindustry #financialservices #fintechs #fintech

FCA Policy Statement (PS22/10) > lnkd.in/esAByaAz Webpage > lnkd.in/eWSUMueN Press release > lnkd.in/eP3UhuGk #financialregulation #compliance #complianceofficer #compliancemanagement #investments #financialprofessional #financialindustry #fintech

The recently published feedback covers what you need to do when preparing and submitting an application, and while the FCA are assessing your application. To view the feedback go to > lnkd.in/eFvQCaGR #cryptocurrencies #cryptoassets #crypto #compliance #fintech #fintechs

Consultation Paper CP23/1 proposes updated guidance following the guidance released during the pandemic on supporting customers in financial difficulty > lnkd.in/e-GUPkVY #insurance #insurancebrokers #insuranceagent #premiumfinance #fintech #fintechs #financialindustry

It is crucial that you get the FCA Authorisation process right! Click the link > bit.ly/3f2x8Yz > to read about the FCA application process. #fintech #emoney #paymentserviceprovider #insurancebrokers #investmentmanagers #p2plending #crowdfunding #openbanking

FCA Consultation Paper (CP22/23) - Regulatory Fees and Levies. CONSULTATION CLOSES 16th JANUARY 2023 FCA Consultation Paper (CP22/23): Regulatory fees and levies: policy proposals for 2023/24 > lnkd.in/e-guGNeb Webpage > lnkd.in/eqNRgHff #regulation #fca #fintech

FCA Discussion Paper: The potential competition impacts of Big Tech entry and expansion in retail financial services > lnkd.in/esRvsDf7 Webpage > lnkd.in/db6Dv2DN Press release > lnkd.in/efP8pc3y #bigtech #technology #innovation #retailsector #fintech

Each month we publish a round-up of the latest regulatory updates, covering only the salient points, including links to relevant documents and webpages > go to > bit.ly/3X3B4sF #financialservices #financialservicesindustry #fintechs #compliance #complianceofficer

You can now book a free consultation directly through our website. It's quick and easy, pick a day/time and reserve your spot - it takes less than a minute!!! Go to > bit.ly/3ilee0O #compliance #complianceservices #compliancemanagement #compliancemanager

T'is the season to be compliant! Our monthly regulation update is the gift that keeps on giving! Go to > bit.ly/3hqezii #regulations #costofliving #appdesign #appdevelopment #financialfraud #fraudprevention #ai #artificialintelligence #fintech #fintechs #compliance

consultation paper (CP22/27) sets out how the FCA plan to operate a new gateway so that all firms wanting to continue approving financial promotions for unauthorised persons will need to apply for permission > lnkd.in/e6HTVX2M #regulation #financialpromotions #fintechs

Policy Statement (PS22/11) sets out improvements to the appointed representatives (AR) regime. The proposed changes will take effect from the 8th of December 2022 > lnkd.in/gEC4nRQG #umbrellacompany #umbrellainsurance #fintech #fintechs #regulation #compliance

Gaming trading: how trading apps could be engaging consumers for the worse! On Monday 21st Nov 22 the FCA published a webpage discussing their concern with the 'gamification' of financial services apps> read more > lnkd.in/ekvHM9BD

December is a busy month for new and updated guidelines / policies coming into force, as well as discussion paper and consultation paper deadlines > go to > bit.ly/3gm8UJz > for the salient points along with links to relevant webpages and documents. #fintech #fintechs

The FCA is warning Buy Now Pay Later (BNPL) bosses that they could face jail time if they do not stick to stringent financial promotion rules. Read more > lnkd.in/edcX-UVe #financialprofessional #financialproducts #fintech #buynowpaylater #bnpl #regulations

At 3:15 today, The Treasury Committee is going to be scrutinising Directors from the FCA. Watch the meeting live here > lnkd.in/eW2dtb2G #fca #regulation