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Articles by Eva Wichtowski
FCA Signals A More Intense Approach To Consumer Duty Compliance
If you are an FCA-regulated retail client services firm, you will already be well aware of the Consumer Duty that FCA introduced in 2023 and more likely, it has probably become a central feature of your compliance obligations over the past year. However, be aware that your obligations do not become less of a priority now that the Consumer Duty rules have been fully implemented, as the FCA reminded the market with its Dear CEO letter to affected firms, published on 7 October 2024.
Consumer Duty: A New Deadline Is Looming…
MC Memery Crystal More At Memery Crystal, every action is thoughtfully considered. Since 1978, we’ve been a leading UK law firm known for intelligent, incisive, and inventive thinking. We are commercially aware, entrepreneurial, and pragmatic, regularly cited in Chambers UK and The Legal 500. In 2021, we joined RBG Holdings plc.
Sustainability Disclosure Requirements (SDR) And Investment Labels Regime
MC Memery Crystal More At Memery Crystal, every action is thoughtfully considered. Since 1978, we’ve been a leading UK law firm known for intelligent, incisive, and inventive thinking. We are commercially aware, entrepreneurial, and pragmatic, regularly cited in Chambers UK and The Legal 500. In 2021, we joined RBG Holdings plc.
Updates To The Financial Promotion Order For HNWIs And SCSIs
This piece contains a summary of the changes to be brought about by the Statutory Instrument 2024 No. 301 – the Financial Services and Markets Act 2000 (Amended and Transitional Provision) Order 2024) (the "SI") which was published on 7 March 2024 following an announcement in the Spring Budget and which come into force on 27 March 2024, specifically relating to High Net Worth Individuals ("HNWIs") and Self-Certified Sophisticated Investors ("SCSIs").
Updates to the Financial Promotion Order for HNWIs and SCSIs
The promotion of investments in the UK is subject to the restriction contained in section 21 of the Financial Services and Markets Act 2000 (“FSMA”) (the “Financial Promotion Restriction”) which provides that communicating an invitation or inducement to engage in investment activity may only be made: 1.by a person authorised under FSMA; 2.where the content of the promotion has been approved by such an authorised person; or 3.in reliance upon an exemption as contained in the Financial Services...
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