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Key takeaways | FCA Payments & E-Money safeguarding & wind-down webinar

On 21 January, the Financial Conduct Authority (FCA) delivered a Payments & E-Money: safeguarding & wind-down webinar to compliance consultants which included some significant points that will be of relevance to firms.

Referencing an initial FCA review of 14 firms’ wind-down plans, FourthLine has summarised a number of these below:

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2021 and the FCA's continued focus on customer vulnerability

Following the release of the Financial Conduct Authority’s (FCA) draft updated guidance this week for mortgage and consumer credit repossessions, and for consumer credit tailored support, the topic ...

Topics: Featured, Investment Management, Prudential regime

January 14, 2021
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PRA reveal their six priorities for UK deposit takers in 2021

As calendars are prepared to be turned over to 2021, the PRA have set out their priorities for the upcoming year for UK deposit takers in a letter to CEOs. Whilst there are no real surprises given ...

Topics: Featured, Client Assets (CASS), Risk Management, Investment Management, operational resilience

December 15, 2020
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Understanding the drivers for Barclays’ £26 million fine for treatment of customers in financial difficulty

On Tuesday 15 December, the Financial Conduct Authority (FCA) published their Final Notice on regulatory action that resulted in a £26m fine for Barclays.

Topics: Featured, Risk Management, Banking, Consumer

December 15, 2020
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FCA releases new Prudential Regime for Investment Firms (IFPR) consultation paper

On 14 December 2020, the Financial Conduct Authority (FCA) published its first of three Consultation Papers on the new UK Prudential Regime for Investment Firms (UK IFPR).

Topics: Featured, Investment Management, Prudential regime

December 15, 2020
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D&I | The business of social purpose

On Thursday, 26th November Jonathan Davidson, The FCA's Executive Director of Supervision - Retail and Authorisations, highlighted the challenges around D&I and Climate Change in  his speech on "The ...

Topics: Featured, Talent Solutions, d&i

November 27, 2020
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The Investment Firms Prudential Regime – areas to consider when getting started

Yesterday morning the Financial Conduct Authority (FCA) confirmed that, considering the scale of regulatory reform due in 2021, the UK’s Investment Firms Prudential Regime (IFPR) will now be ...

Topics: Featured, Risk Management, Investment Management, Prudential regime

November 17, 2020
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What are the PRA’s perspectives on interactions between OCIR and Operational Resilience?

Following the Prudential Regulation Authority’s (PRA) publication last week of a series of four Consultation Papers concerning Bank Resolution and Operational Continuity in Resolution (OCIR), some of ...

Topics: Featured, operational resilience

November 4, 2020
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Hiring for Values Vs. Culture

Almost every company today looks to find a strong culture fit for potential hires, but a common issue arises when we look beneath the surface - a lack of diversification of ideas, backgrounds and ...

Topics: Insider, Featured, Talent Solutions

October 29, 2020
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