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Seven Compliance News

Our latest news can be viewed here. Please click on the link to read an article.

September 2021

From January 2022 the new IFPR – Investment Firms Prudential Regime changes come into force and with that new capital and risk calculations. These new calculation ...

September 2021

Charles Randall the Chair of the Financial Conduct Authority took the opportunity of a speech to the Cambridge International Symposium on Economic Crime on Sept 6th ...

July 2021

Diversity and inclusion in the financial sector – working together to drive change (DP21/2) The FCA has published a discussion paper seeking views on ideas to ...

May 2021

Operational resilience: preparing for the switch from analogue to digital phone lines The current analogue phone network will be switched off across the UK at the ...

April 2021

Whistleblowing: report to the FCA in confidence, with confidence The FCA have launched a whistleblowing campaign ‘in confidence, with confidence’ to encourage ...

March 2021

Guidance for firms on the fair treatment of vulnerable customers The FCA have published final guidance clarifying expectations of firms on the fair treatment of ...

February 2021

The Final Countdown to Senior Managers and Certificate Regime (SM&CR) The SM&CR is a catalyst for change and its aim is to reduce harm to consumers and ...

January 2021

On 8 January, the FCA updated their statement on Market Trading and Reporting to clarify their expectations on recording calls when working from home. Click the link ...

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