Page 18 - Certification Regime News Today

The Financial Conduct Authority (“ FCA”) has recently published a discussion paper concerning diversity and inclusion (“ D&I”) in the financial sector. In the wake of recent European Union rules on sustainable financing (see here for our latest briefings), Environmental, Social and Governance (“ ESG”) issues are notably rising to the top of the agenda for corporates, asset managers and investors. Against this background, the FCA have made their expectations clear in respect of socia...

Announced the people coming in to double _ announced the people coming in to double jabs from amber lists countries not of the self—isolate. but the — countries not of the self—isolate. but the 18 — countries not of the self—isolate. but the 18 24—year—old age group is not really— but the 18 24—year—old age group is not really taking up its jabs and sufficiently high numbers. they want that to _ sufficiently high numbers. they want that to be _ sufficiently high numbers. they...

The European Banking Authority (“ EBA”) published a report outlining the results and conclusions of its market analysis of the current RegTech landscape in the EU. It has also published an "at a glance" factsheet on RegTech and steps firms can take. The Bank of England (“ PRA”) (CP14/21), on changes to the UK leverage ratio framework. European Securities and Markets Authority (“ ESMA”) published a webpage with official translations of its guidelines on stress test scenarios (ESMA34-...

What You Need to Know Fresh off the launch of Onramp Invest, the crypto platform for advisors was selected to join Visa’s Fintech Fast Track program. Foreside Financial Group acquired the compliance consulting practice of Golden Bear Consulting Group. The Hearsay for Salesforce managed package launched on Salesforce AppExchange. Regtech firm ComplySci received a growth capital investment of about $120 million from private equity firm K1 Investment Management, the companies said in a joint a...

There are no shortcuts to building consumer trust, writes Tim Sargisson. But getting the basics sorted, such as complying with SM&CR and other regulatory diktats, is a good place to start

  • NAV at the year end of 44.41p per share (2020: 46.35p), after dividend payments totalling 3.00p per share during the year       • Deployment of £6.91 million during the year, including new investments in 20 private and AIM quoted companies       The financial year to 28 February 2021 has been a period of significant challenge and uncertainty dominated by the COVID-19 pandemic. This public health crisis has had a wide-reaching impact across our society, and the Direct...

The UK Financial Conduct Authority (FCA) has recently announced that it is considering adding a sixth question on diversity and inclusion (D&I) to its five conduct questions (5CQs). The...

Does it matter what advisers are called? The public need advice more than ever but remain confused over the options. Are advisers’ titles important, and is there a definitive term anyway? By Justin Cash 5 th May 2021 10:23 am “Are you the Judean People’s Front?” the server asks. “F**k off,” comes the terse response. “We’re the People’s Front of Judea.” It is an iconic scene many readers will recognise from Monty Python’s Life of Brian. The film is more than...

U.K. managers told to keep eye on employees’ out-of-office lives Print Money managers operating in the U.K. are not only having to enhance the scrutiny and assessment of their employees based on behavior inside and outside the office as the result of a new conduct regulation, theyre also having to set their own criteria against which to judge staff. The enhanced regulation is supposed to bring more accountability to those running client money by weeding out bad behavior and ensuring that the ...

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