Empowering Compliance Professionals with AI ViCA is rapidly becoming an indispensable resource for compliance professionals seeking to lower costs and reduce the time needed for complex compliance queries. By leveraging […] [...]
ComplyCrypto Depository Limited is pleased to announce that the Financial Conduct Authority (FCA) approved its registration as a cryptoasset exchange provider under the Money Laundering, Terrorist Financing and Transfer of […] [...]
What is DORA? The Digital Operational Resilience Act (DORA) is a significant EU regulation designed to bolster the digital resilience of the financial sector. Effective from January 16th 2023, DORA […] [...]
Proposed Amendments The FCA’s latest Guidance Consultation paper GC24/4 outlines proposed changes to its guidance (FG17/6) regarding the treatment of politically exposed persons (PEPs) under the Money Laundering, Terrorist Financing […] [...]
Webinar On Demand: Consumer Duty Q&A : Expert Insights and Answers This webinar is now available to view on demand Our webinar on Understanding DORA was held on September 19th, […] [...]
Introduction The Sustainability Disclosure Requirements (“SDR”) rules were published in November 2023 and were set out in the FCA’s policy statement PS23/16. These rules look to create transparency in the […] [...]
In June 2023, the Financial Conduct Authority (“FCA”) issued Policy Statement 23/6 (the “Policy Statement”), outlining the financial promotion rules for cryptoassets. The new regime took effect on October 2023, […] [...]
Two years have passed since the FCA introduced its new rules aimed at improving standards in the Appointed Representative (“AR”) sector (https://www.fca.org.uk/publication/policy/ps22-11.pdf) – prompted by the FCA’s view that the […] [...]
The FCA’s Product Oversight and Governance Thematic Review The FCA’s Thematic Review (TR24/2) assesses whether firms in the General Insurance (GI) and Pure Protection (PP) sectors are meeting their obligations […] [...]
Webinar On Demand: Consumer Duty Q&A : Expert Insights and Answers This webinar is now available to view on demand Our webinar on Diversity, Equity and Inclusion in Financial Services […] [...]
Background On 1st August 2024, the FCA introduced new rules for firms wishing to purchase investment research. Previously, the costs of investment research were bundled together with the costs of […] [...]
The Financial Conduct Authority (“FCA”) in July 2024 published a Call for Input to assess the impact of the Consumer Duty rules on businesses and consumers and to understand how […] [...]
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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