Rebecca Dulieu

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FCA updates webpage on PS22/11: Improving the Appointed Representatives regime

On 19 August 2022, the FCA updated its webpage regarding Policy Statement 22/11: ‘Improving the Appointed Representatives regime’. The FCA has added new text under the heading ’Next Steps’. The full section now reads: The changes will take effect on 8 December 2022. Principals should read our updated rules and expectations and take any necessary … Continue Reading

Spotlight on the Appointed Representatives regime: what is changing and how best to prepare

Ahead of the anticipated FCA policy statement and final rules on the changes to the Appointed Representatives regime, which were expected to be published in H1 2022, in this briefing paper we consider some of the steps that firms should be taking to prepare for the anticipated changes in the FCA’s final policy.… Continue Reading

Cyber-attacks are on the increase: reminder of FCA and PRA expectations on regulated firms

It has been reported that, in 2021, the FCA experienced a 52% increase in reports of “material” cyber security incidents and we expect this upward trend to continue into 2022.  The rise in ransomware in particular was highlighted in the very recent paper published by UK Finance, which called on UK authorities to focus on … Continue Reading

RT Plus – PS 21/16 on issuing statutory notices: A new approach to decision makers

A new episode of RT Plus is available now to stream and download. In this episode, Katie Stephen, Co-Head of the Contentious Financial Services Group in London, is joined by Rebecca Dulieu, Senior Associate, to discuss the FCA’s recent Policy Statement on issuing statutory notices, under which the FCA is reforming its decision-making process. Katie … Continue Reading