Join Complyport and AGRC for an insightful webinar as we delve into the transformative impact of Artificial Intelligence (AI) and Machine Learning (ML) on the landscape of compliance within the financial services […] [...]

The FCA issued the IFPR newsletter to firms detailing its observations after the implementation of Investment Firms Prudential Regime (“IFPR”), something that could easily be missed in the barrage of emails we […] [...]

A Section 166 skilled Person review is often viewed negatively by regulated firms. It is always better to avoid having a Section 166 review imposed by the FCA. However, if […] [...]

After much speculation, PS23/16 was finally unveiled on 28 November 2023. As consumer demand for sustainable investment products increases, the Financial Conduct Authority (“FCA”) recognises the need for investors to have confidence […] [...]

The FCA has recently published its Consultation Paper on Regulatory fees and levies: policy proposals for 2024/25, which sets out the FCA’s proposed policy changes to the way it will raise […] [...]

The UK Financial Conduct Authority (FCA) recently completed a review of investment firms’ implementation of the Internal Capital and Risk Assessment (ICARA) process under the Investment Firms Prudential Regime (IFPR). The review aimed to […] [...]

This November, the UK has been at the forefront of Artificial Intelligence (“AI”) discussions, with Prime Minister Rishi Sunak hosting the world’s first Global AI Safety Summit. However, for financial […] [...]

As regulations grow more complex, financial services firms face increasing scrutiny of their governance and controls. Robust internal audits are essential to test and evidence compliance across areas like conduct, […] [...]

What is the FCA Saying? The FCA has recently published a “Dear CEO” letter to Wealth Management and Stockbroking Firms to highlight the harms that these firms pose to the market and […] [...]

Confusion remains over the role of a Money-laundering Reporting Officer (MLRO). We’ve reviewed mainstream practices to identify key responsibilities. While our focus is on UK MLROs, the role of an […] [...]