Authorizations
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HM Treasury consults on wide-ranging reforms to Appointed Representatives Regime
Implications for principals and ARs.
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The FCA strikes back with Firm Checker tool as 800,000 fall victim to scams
By using the tool and checking if a firm is authorized, people can significantly reduce their chances of falling victim to fraud.
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Key facts about HMT policy statement on appointed representatives regime
HMT is proposing a regulatory gateway requiring authorized firms acting as principals to ARs to have specific FCA permission.
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FCA data clarifies pitfalls for asset management authorizations
The UK regulator recently published a list of common errors it observed from asset management firms applying for authorization or variation of permission.
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UK regulator’s report on quarterly authorizations shows improvement
FCA publishes data showing authorization metrics continue to improve.
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No FCA Xmas card for the National Audit Office
Gavin Stewart asks if the NAO’s criticism of the FCA is fair, and ponders the role the NAO plays.
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View from the chair: Is “use it or lose it” too black and white?
The FCA is concerned firms are using the permissions regime to “add credibility to their unregulated activities”. Ben Blackett-Ord has some thoughts
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Regulation redux: Dreams, confusion, gateways and hurdles
Gavin Stewart looks back at last week’s regulatory events, featuring challenger banks, crypto promotions, FCA authorizations and BNPL schemes.