Reporting

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This overview is a guide to the Lexis+® UK Financial Services content within the Reporting subtopic, with links to the appropriate materials.

Introduction

The FCA's reporting requirements provisions are set out in a variety of sources including the Principles for Businesses (PRIN), the Supervision Manual (SUP), the Transaction Reporting User Pack (TRUP), the Market Conduct rules (MAR) and the Financial Services and Markets Act 2000 (FSMA 2000).

The PRA's reporting requirements are also set out in a number of sources, including in the Fundamental Rules, Regulatory Reporting, Close Links and Change in Control parts of the PRA Rulebook, and in FSMA 2000.

The PRA works closely with the FCA in the collection and management of regulatory data. Much regulatory data for PRA firms continues to be collected by the FCA. This includes reporting via the FCA’s RegData system, the submission of firms’ controllers and close links reports and the reporting of changes to firms’ standing data.

Principle 11 of the FCA Handbook's Principles for Businesses (PRIN) and Fundamental Rule 7 of the PRA's Fundamental Rules, require a firm to deal

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Latest Financial Services News

FCA calls for faster bereavement claim processing by life insurers

The Financial Conduct Authority (FCA) has conducted a multi-firm review of life insurers' handling of bereavement claims and the review revealed evidence of good practices, such as firms providing additional support for claimants during their difficult time. However, the FCA also acknowledged that firms can face challenges in obtaining the necessary evidence to assess a claim and has called for firms to improve their handling times for bereavement claims for delivery of positive customer outcomes, in line with the Consumer Duty introduced in July 2023.

FCA updates whistleblowing data for Q3 2024

The Financial Conduct Authority (FCA) has published whistleblowing quarterly data for Q3 2024 and revealed that it has received 322 new whistleblowing reports between July and September 2024, which is an increase from the reports received in the same quarter of 2023, and 253 reports in Q2 2024.

FCA publishes guidance for firms that enables a risk-based approach to payments

The Financial Conduct Authority (FCA) has published final guidance explaining how it expects Payment Service Providers (PSPs) to apply changes introduced by the Payment Services (Amendment) Regulations 2024 which came into force in October 2024. The FCA has also updated its Approach Document which sets out the final guidance.

Financial Services—other developments (22/11/2024)

A round-up of other developments, which have not been covered in full by the LexisNexis Financial Services practical guidance team but may nevertheless be of interest.

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