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FCA Regulation
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FCA Regulation
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Topics
FCA Vulnerability Review - Survey
FCA Vulnerability Review - Survey
by
16
replies
352
views
3
likes
Anonymous
Yesterday
DA for BTL broker
DA for BTL broker
by
3
replies
154
views
2
likes
Anonymous
18 Apr 2024
Client now residing overseas - FCA Wording
Client now residing overseas - FCA Wording
by
2
replies
69
views
0
likes
Anonymous
17 Apr 2024
Introducers and FCA Credit Broking
Introducers and FCA Credit Broking
by
3
replies
106
views
2
likes
Anonymous
10 Apr 2024
Baseline Financial Resilience Report - Why?!
Baseline Financial Resilience Report - Why?!
by
14
replies
362
views
3
likes
Anonymous
28 Mar 2024
Starting a Bridging/Commercial Brokerage
Starting a Bridging/Commercial Brokerage
by Anonymous 1
5
replies
220
views
1
likes
Anonymous
20 Mar 2024
Advice / Guidance - "the most progressive [way] the FCA has ever come at something in a consultation"? Or not?
Advice / Guidance - "the most progressive [way] the FCA has ever come at something in a consultation"? Or not?
by Anonymous 1
1
replies
137
views
0
likes
Anonymous
14 Feb 2024
Having AR's
Having AR's
by Anonymous 1
6
replies
230
views
0
likes
Anonymous
13 Feb 2024
GDPR
GDPR
by Anonymous 1
3
replies
88
views
0
likes
Anonymous
8 Feb 2024
Debt Consolidation on a BTL
Debt Consolidation on a BTL
by
9
replies
144
views
0
likes
Anonymous
6 Feb 2024
FCA Gateway User Research - New Form A
FCA Gateway User Research - New Form A
by
2
replies
74
views
0
likes
Anonymous
5 Feb 2024
REP019 General Insurance - Value Measures Report
REP019 General Insurance - Value Measures Report
by
7
replies
127
views
0
likes
Anonymous
8 Jan 2024
DA - FCA Application - How long did it take for authorisation?
DA - FCA Application - How long did it take for authorisation?
by
3
replies
194
views
4
likes
Anonymous
3 Jan 2024
Will small firms survive Customer Duty?
Will small firms survive Customer Duty?
by
13
replies
598
views
4
likes
Anonymous
12 Dec 2023
FCA to relax advice-guidance boundary in landmark review - Thoughts please
FCA to relax advice-guidance boundary in landmark review - Thoughts please
by
3
replies
234
views
2
likes
Anonymous
8 Dec 2023
Crime Levy
Crime Levy
by
3
replies
199
views
0
likes
Anonymous
20 Nov 2023
Do I need separate authorisation to do Lifetime Mortgages?
Do I need separate authorisation to do Lifetime Mortgages?
by
10
replies
298
views
7
likes
Anonymous
10 Nov 2023
beware FAKE FCA invoice reminders
beware FAKE FCA invoice reminders
by
5
replies
197
views
3
likes
Anonymous
26 Oct 2023
Financial resiliance
Financial resiliance
by
7
replies
301
views
2
likes
Anonymous
17 Oct 2023
FCA invoice
FCA invoice
by
25
replies
786
views
4
likes
Anonymous
13 Oct 2023
Proof of deposit UK or abroad
Proof of deposit UK or abroad
by Anonymous 1
26
replies
340
views
0
likes
Anonymous
10 Oct 2023
2 interesting stories today! Are we funding the FCA's cock ups?!
2 interesting stories today! Are we funding the FCA's cock ups?!
by
3
replies
309
views
1
likes
Anonymous
3 Oct 2023
FCA - "Advice / guidance boundary could lead to wholesale restructuring of advice regime"
FCA - "Advice / guidance boundary could lead to wholesale restructuring of advice regime"
by
3
replies
173
views
1
likes
Anonymous
26 Sep 2023
Are over a third of clients really 'vulnerable'?
Are over a third of clients really 'vulnerable'?
by
9
replies
235
views
0
likes
Anonymous
15 Sep 2023
FCA time wasters
FCA time wasters
by Anonymous 1
13
replies
475
views
12
likes
Anonymous
11 Sep 2023
FCA takes first action - Consumer Duty
FCA takes first action - Consumer Duty
by
6
replies
322
views
1
likes
Anonymous
4 Sep 2023
Broker who is FCA Registered but domiciled in EU
Broker who is FCA Registered but domiciled in EU
by Anonymous 1
9
replies
219
views
2
likes
Anonymous
19 Aug 2023
In terms of wording or documentation, will you be giving your Clients anything different from Consumer Duty Day?
In terms of wording or documentation, will you be giving your Clients anything different from Consumer Duty Day?
by
67
replies
1,434
views
15
likes
Anonymous
4 Aug 2023
More BS on the way- Core Advice
More BS on the way- Core Advice
by
4
replies
112
views
1
likes
Anonymous
3 Aug 2023
Vulnerable clients anyone going to be doing this?!
Vulnerable clients anyone going to be doing this?!
by
32
replies
724
views
21
likes
Anonymous
3 Aug 2023
Consumer duty (not mortgages)
Consumer duty (not mortgages)
by
3
replies
102
views
0
likes
Anonymous
2 Aug 2023
Owning shares
Owning shares
by
6
replies
187
views
0
likes
Anonymous
13 Jul 2023
Consumer Duty
Consumer Duty
by
95
replies
2,390
views
41
likes
Anonymous
6 Jul 2023
FCA to increase scrutiny of ARs....
FCA to increase scrutiny of ARs....
by Anonymous 1
15
replies
511
views
0
likes
Anonymous
5 Jul 2023
Quick question
Quick question
by
4
replies
137
views
0
likes
Anonymous
4 Jul 2023
FIN074-Economic Crime Levy - what is the definition of income ?
FIN074-Economic Crime Levy - what is the definition of income ?
by
11
replies
225
views
1
likes
Anonymous
17 May 2023
Will your fees have to be increased to cope with Customer Duty?
Will your fees have to be increased to cope with Customer Duty?
by
7
replies
180
views
4
likes
Anonymous
16 May 2023
Whistleblowers ‘brushed aside’ by FCA with ‘no real consequences’ for culprits
Whistleblowers ‘brushed aside’ by FCA with ‘no real consequences’ for culprits
by Anonymous 1
2
replies
250
views
1
likes
Anonymous
10 May 2023
consumer duty attestation
consumer duty attestation
by
8
replies
227
views
2
likes
Anonymous
5 May 2023
Getting inundated with Lender Emails about Consumer Duty
Getting inundated with Lender Emails about Consumer Duty
by
15
replies
223
views
8
likes
Anonymous
3 May 2023
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