TECHNICAL TALK
REGULATORY HORIZON SCANNER AS OF NOV 2023
REGULATORY HORIZON SCANNER AS OF JAN 2024
REGULATORY HORIZON SCAN 2024
GATEWAY FOR APPROVING UNAUTHORISED FIRM PROMOTIONS |
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Policy Statement
DIVERSITY AND INCLUSION FRAMEWORK
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SECOND ANNUAL REVIEW - AR REGIME |
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IMPLEMENTATION OF DIVERSITY AND INCLUSION FRAMEWORK – REPORTING ’ |
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FCA report on findings
RETIREMENT INCOME REVIEW
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Consultation paper FSCS REFORM |
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FCA WORKING GROUP FOR FINANCIAL ADVISERS TO BUILD CAPABILITIES ON SUSTAINABLE FINANCE |
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ADVICE GUIDANCE BOUNDARY REVIEW
Policy Paper
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FINANCIAL PROMOTIONS ON SOCIAL MEDIA |
Consultation Paper
DISCRETIONARY PORTFOLIO MANAGERS SUSTAINABILITY DISCLOSURE REQUIREMENTS
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Consultation Paper
REVIEW OF THE SENIOR MANAGERS AND CERTIFICATION REGIME ( SM & CR )
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Q1 2024 |
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Q2 2024 |
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Q3 2024 |
Q4 2024 |
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Consultation paper
REVIEW OF CAPITAL ADEQUACY REQUIREMENTS
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ANTI GREENWASHING RULE COMES INTO FORCE MAY 2024 |
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CAPITAL ADEQUACY FOR INVESTMENT ADVICE FIRMS - NEW CAPITAL DEDUCTION REQUIREMENT – FINAL RULES |
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Implementation
BASELINE FINANCIAL RESOURCE RETURN
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FIRST ANNUAL REVIEW OF CONSUMER DUTY OUTCOMES DUE |
REFORM OF THE CONSUMER CREDIT ACT 1974 |
REVIEW OF THE ‘ GUIDANCE FOR FIRMS ON THE FAIR TREATMENT OF VULNERABLE CUSTOMERS
POST IMPLEMENTATION REPORT ON TREATMENT OF VULNERABLE CUSTOMERS
CONSULTATION PAPER
FIRM PREPARATION TO BEGIN
IMPLEMENTATION OF FINAL RULES
THE BIGGEST PIECES TO COME FROM THE LATEST SCAN ARE DISCUSSED ABOVE .
The items added for 2024 includes :
• Financial Promotions on Social Media
• Anti Greenwashing rule comes into force
• Capital Adequacy for Investment Advice Firms - new capital deduction requirement
• Discretionary Portfolio Managers Sustainability Disclosure Requirements Consultation Paper
• FCA working group for Financial Advisers to build capabilities on sustainable
• Consultation Paper - Review of the Senior Managers and Certification Regime ( SM & CR )
• Review of the ‘ Guidance for firms on the fair treatment of vulnerable customers ’.
• Post implementation report on treatment of vulnerable customers
We have also added to the scanner lots of new links to our updates and guidance across 2023 and 2024 , which we will continue to make available as our reviews are completed .
CLICK THE BUTTON ABOVE TO DOWNLOAD THE SCANNER , OR LOG ON TO OUR WEBSITE AND VISIT COMPLIANCE > LATEST REGULATION
JANUARY 2024 | 7