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ARTICLE · 05 DECEMBER 2017

Regulation Round Up - November 2017

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The Financial Conduct Authority (FCA) published an alert setting out key considerations for principals who have appointed representatives or introducer appointed representatives.

United KingdomFinance and Banking
Andrew Wingfield
Andrew Wingfield
John Verwey
John Verwey
Claudia Mercer
Claudia Mercer
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3 November

The Financial Conduct Authority (FCA) published an alert setting out key considerations for principals who have appointed representatives or introducer appointed representatives.  Among other things, the alert emphasised the importance of initial due diligence and monitoring by principals of their appointed representatives.

7 November

The Payment Systems Regulator published a consultation paper (CP17/2) containing a report and consultation on authorised push payment (APP) scams.  It explained what work the PSR has done in the past year to reduce the harm to consumers from APP scams. Specifically, the paper highlighted the progress that has been made in developing industry best practice standards on how payment service providers should respond when a victim reports an APP scam.

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