July 11, 2019

Consultations

FCA Consultations

The FCA is currently consulting on its future approach to consumers and on how FSMA authorised firms will move to the Senior Managers & Certification Regime.

In Our Future Approach to Consumers, the FCA is seeking views on issues including consumer responsibility, identifying vulnerability, and the line between the FCA’s remit and broader social policy issues. The Council welcomes views from members to coordinate a response.

 

As the transition to the Senior Managers & Certification Regime will affect firms differently according to the way they are structured, the FCA has issued complementary consultations:

CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime

CP17/41: Individual accountability: Transitioning insurers and individuals to the Senior Managers & Certification Regime

CP17/42: The Duty of Responsibility for insurers and FCA solo-regulated firms

Members are encouraged to respond to the FCA directly.

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