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DBAAT training material: Case study [pdf]
Case study from two day training material for Defined Benefit Advice Assessment Tool (DBAAT) -
Regulatory Initiatives Grid - May 2022 [pdf]
This grid is produced by the Financial Services Regulatory Initiatives Forum. This fifth edition of the Grid contains a range of themes including climate and sustainability, diversity and inclusion (D&I), innovation, wholesale financial markets, and -
DBAAT two day training course material [pdf]
Two day training course material on the Defined Benefit Advice Assessment Tool (DBAAT) -
Regulatory Initiatives Grid - May 2022 Excel version [xlsx]
This Excel version of the fifth edition of the grid is produced by the Financial Services Regulatory Initiatives Forum. -
Financial Services Regulatory Initiatives Forum - Minutes: May 2022 [pdf]
Financial Services Regulatory Initiatives Forum meeting minutes May 2022. The forum is made up of representatives of the Bank of England, Financial Conduct Authority, Prudential Regulation Authority, Payment Systems Regulator, the Competition and -
Information on notifications of senior person amendments or removals - May 2022
The FCA provides data on notifications of senior person amendments or removals. -
Mutual societies registration function: 2021-22
An update on our work and a breakdown of societies on the register. -
Information on non-financial misconduct and financial misconduct allegations - May 2022
The FCA provides information on the types of allegations received by its whistleblowing team. -
OPBAS view on the SRA’s consultation on financial penalties [pdf]
In November 2021, the SRA consulted on its approach to financial penalties. In March 2022, we wrote to the SRA with our view on this consultation. -
FG22/3: Finalised Guidance (non-Handbook) on parts of the UK MMF Regulation [pdf]
FG22/3: Finalised Guidance (non- Handbook) on parts of the UK MMF Regulation.