Introduction On 14th November 2024, the Chancellor Rachel Reeves, delivered her Mansion House package setting out the government’s plans for the UK economy moving forward. The agenda looks to create […] [...]
The UK Financial Promotions regime has been through a plethora of updates in the recent years. In February 2024, a £31,800 fine was imposed on a former director of London […] [...]
The FCA has introduced an updated transparency framework in the UK aimed at refining the bond and derivatives markets to foster enhanced market integrity, investor protection and competition. This initiative […] [...]
The Financial Conduct Authority (‘FCA’) has recently published a comprehensive assessment of Consumer Duty Board Reports, identifying both strong practices and areas requiring improvement, aiming for firms to improve their […] [...]
Introduction With the introduction of payment optionality in July 2024 for MiFID investment firms through PS24/9, the FCA is now consulting to expand this optionality further to asset managers who […] [...]
Introduction The FCA continues to emphasise the necessity for a firm’s operational resilience framework and their ability to deliver important business services in severe circumstances. Following the CrowdStrike outage, the […] [...]
Importance of cyber security Cybersecurity is a critical component of operational resilience for firms in the financial sector. As financial institutions increasingly rely on digital infrastructure to manage transactions, store […] [...]
Recently the FCA and PRA presented their findings PS18/24 after a period of consultation, within CP 25/23, regarding prudential assessment of acquisitions and increases in control. The FCA has also […] [...]
Introduction On 18th September 2024, the Financial Conduct Authority (“FCA”) set out an update to its initial observations of the Price and Value framework introduced by the Consumer Duty (the […] [...]
Webinar On Demand: Consumer Duty Q&A : Expert Insights and Answers This webinar is now available to view on demand Our webinar ”Is Your AML Compliance Robust Enough?” was held […] [...]
Obtaining authorisation from the Financial Conduct Authority (“FCA”) is a significant milestone for any financial services firm operating in the UK. However, authorisation is not the end of the regulatory […] [...]
UK firms are spending the equivalent of £21k per hour on fighting financial crime (Lexis Nexis Compliance Report 2023). Despite this burgeoning cost which continues to rise, research indicates that […] [...]
Debt management firms play a vital role in helping individuals manage their debts effectively, particularly when facing financial difficulties. Operating under the Financial Conduct Authority (“FCA”) regulations in the UK, […] [...]
What is Authorised Push Payment Fraud Authorised Push Payment (APP) Fraud occurs when someone is tricked into authorising a payment to a fraudster posing as a legitimate recipient. APP Fraud […] [...]
On 7 October 2024, the Financial Conduct Authority (FCA) wrote a Dear CEO letter to financial advisers and investment intermediaries. The Letter provides an outline of the FCA’s priorities and […] [...]
AI and its impact in financial services Artificial Intelligence (AI) has the potential to bring huge benefits, or, in some cases, significant risks. In the financial services sector, the possibilities […] [...]
Overview The Dormant Assets Scheme The Dormant Assets Scheme (DAS) is a UK government initiative designed to reunite people with their dormant financial assets, such as bank accounts, insurance policies […] [...]
The Corporate Finance regime in the UK consists of firms that offer various financial services and provide financial advisory services to corporate clients, such as companies, businesses and institutional investors. […] [...]
Webinar On Demand: Consumer Duty Q&A : Expert Insights and Answers This webinar is now available to view on demand Our webinar on Consumer Duty The Aftermath was held on […] [...]
The FCA is proposing significant changes to consumer credit regulatory returns, targeting firms involved in activities like credit broking, debt adjusting, debt counselling and providing credit information services. These proposed […] [...]
The Regulatory Gateway for Financial Promotions is Here
Navigating KYC Challenges in 2024: Insights from the Q&A Session
Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024
Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024
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