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The FCA Directory

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  • The FCA Directory

    The FCA Directory

    15.03.2019United Kingdom
    On 8 March, the FCA published the long-awaited final rules on the proposed new Financial Services Directory (the “FS Directory”). The introduction of the FS Directory is expected to be welcomed by firms and consumers alike. Following the FCA’s consultation during the summer/autumn of 2018, the emphatic industry view is that a directory of those working within financial services would be a positive move towards increased accountability and consumer protection. The FCA has been at pains to highlight that the FS Directory will promote transparency by requiring firms to disclose a relatively granular level of detail on their staff and by ensuring that the directory is rolled out using very user-friendly, online functionality. From the perspective of firms, the FS Directory will make it quicker and easier to check the work history of new hires, complimenting the regulatory reference regime. Wider regulatory benefits include enabling the FCA to better identify and prioritise high risk supervision cases as well as the creation of a robust information sharing network with intelligence partners including the police and other regulators.

    (More.....)
    CAVEAT LECTOR

    This is only my opinion - "Opinions are made to be changed --or how is truth to be got at?" (Byron)

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    The last words of John Sedgwick
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