January 20, 2023
FCA's Portfolio Strategy on Claims Management Companies: A Detailed Compliance Guide for CMC Firms
The Financial Conduct Authority (FCA) recently released its Portfolio Strategy on Claims Management Companies (CMCs) outlining its approach to regulating this sector and identifying key risks.
Read MoreJanuary 16, 2023
What are the FCA financial promotions and what internal controls should you set up
A financial promotion is any advertisement, communication, or other material that promotes a financial product or service. Financial promotions can take many forms, including print and online advertisements, marketing emails, social media posts, and sales presentations.
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FCA
Authorisation
January 9, 2023
What are the FCA Fit & Proper Requirements and Conduct rules?
Following on from our previous article about the Senior Manager regime, we provide more detail about the FCA Fit & Proper Requirements and Conduct rules.
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FCA
Authorisation
December 29, 2022
What is the Appointed Representative Regime?
In this series of articles, MEMA will break down what is the Appointed Representative Regime and what steps your organsiation will need to take.
Read MoreDecember 19, 2022
What is the Senior Managers & Certification Regime ?
The Senior Managers and Certification Regime (SM&CR) replaces the Approved Persons Regime (APR) which is how the FCA used to regulate people working in financial services.
Read MoreDecember 12, 2022
What is the FCA Consumer Duty and how does it affect your firm?
The FCA Consumer duty is a key principle of the regulatory framework that governs the financial sector in the UK. This principle requires financial firms to always act in the best interests of their customers and to put the interests of consumers first when carrying out their activities.
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FCA
Consumer Duty
December 7, 2022
Are you aware of the FCA rules to protect consumers from rogue financial promotions
Did you know that the FCA has published a consultation paper and press release setting out how it proposes to operate a new authorisations gateway for firms wanting to continue approving financial promotions for unauthorised persons.
Read MoreNovember 23, 2022
FCA's new rules on Appointed Representative Regime
Changes to the Appointed Representatives regimes will take effect from 08 December 2022. The final rules were published in the Financial Conduct Authority’s policy statement to improve the appointed representative's regime.
Read MoreOctober 18, 2022
How to get FCA authorised (part 3)
As part of our How To series on 'How to get FCA authorised'. We are addressing all aspects of preparing for FCA authorisation. This will look to cover a range of key items your business should consider from the location of offices, and expected fees to resourcing.
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