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The FCA maintains its method of not setting numerical conditions or thresholds for numbers of individuals or businesses affected for evaluating the significance of impacts.
知乎，让每一次点击都充满意义 —— 欢迎来到知乎，发现问题背后的世界。
The FCA clarifies the carry out policies underneath COCON are distinctive from work law and interior disciplinary methods.
SUP 10A Annex seven Kind D: Notification of alterations in private info or software facts and carry out breaches/disciplinary action related to perform [deleted]
The FCA confirms the anti-greenwashing rule captures any references to the sustainability attributes of the firm’s fiscal services. The rule applies each time a organization:
The consultation within the proposed guidance is open up until eventually 10 September 2025. Final guidance, if taken ahead, is anticipated to become posted by the end with the 12 months. The FCA is asking corporations to supply feed-back on irrespective of whether more clarification might be beneficial and proportionate.
Meanwhile, all companies in just scope really should commence examining and updating their inner policies, schooling, and disciplinary frameworks to be certain alignment Together with the impending rule modifications. Corporations should also get started arranging communications to suitable workers beneath their FSMA obligations, notably learn more Individuals issue on the Perform Guidelines.
A custodial sentence is probably going to point that the carry out is adequately severe, While other factors, like the age with the offence and evidence of rehabilitation, need to also be viewed as.
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UKLR TP 5 Transfer between listing classes transitional provisions – transfers from your fairness shares (Global business providers secondary listing) classification into the fairness shares (professional providers) classification
However, the rule is not really applicable to payment solutions vendors, e‑income firms or money market place infrastructures unless In addition they hold a component 4A permission.
UKLR sixteen Annex 1R Details around the variety of your people on the stated company’s board and in its executive management
MCOB 4 Annex 3 More data needs in regard of distance home loan mediation contracts, length house purchase mediation contracts and length controlled sale and lease again mediation contracts with buyers