Webinar On Demand: Consumer Duty Q&A : Expert Insights and Answers This webinar is now available to view on demand Our webinar ‘Cutting Compliance Costs – The Case for Strategic […] [...]
Introduction Financial services firms required to comply to the Operational Resilience requirements must do so by 31 March 2025. These requirements stem from the Financial Conduct Authority’s (FCA) Policy Statement […] [...]
The Financial Conduct Authority (FCA) has recently released a pivotal Consultation Paper, CP24/24: The MiFID Organisational Regulation. This Paper outlines the FCA’s proposal to incorporate the firm-facing requirements of the […] [...]
The Financial Conduct Authority (FCA) has issued a Dear CEO letter to Chief Executive Officers of payments portfolio firms, setting out its supervisory priorities for 2025. The Letter highlights three […] [...]
The FCA has issued a Final Notice to the former Chief Supply Chain Officer at Wizz Air Holdings plc for breaches of the Market Abuse Regulations (MAR). This Notice, dated […] [...]
Monitoring the risk of criminal misuse of the UK’s financial system remains a supervisory priority for the FCA, with an evident risk of financial and other penalties for non-compliant firms. […] [...]
The FCA recently released its Consultation Paper CP24/25, detailing proposed changes to regulatory fees and levies for the 2025/26 financial year. This Consultation is part of the FCA’s annual review […] [...]
The FCA has recently issued a portfolio letter to Self-Invested Personal Pension (SIPP) operators, detailing its expectations and priorities for 2024. This follows a Dear CEO letter sent to these […] [...]
The FCA introduced significant updates to its Financial Crime Guide (“FCG”) through Policy Statement PS24/17. This revision aligns with the FCA’s 2022-2025 Strategy, emphasising proactive and data driven supervision to […] [...]
Webinar On Demand: Consumer Duty Q&A : Expert Insights and Answers This webinar is now available to view on demand Our webinar ‘The FCA’s Greenwashing Regulations are Now in Effect […] [...]
New Identity Verification Requirements for UK Companies In the realm of rising financial crime, both AML specialists and financial criminals have long identified Companies House as a target for fraud. […] [...]
Introduction: The FCA’s Approach to Contracts for Difference (CFDs) The latest “Dear CEO” letter outlines the FCA’s strategic focus for the next two years in the CFD portfolio sphere. It […] [...]
Short-selling regulation (“SSR”) is a key aspect of financial market oversight aimed at promoting fair trading practices and ensuring market stability. Short selling has been regulated in the United Kingdom […] [...]
The Financial Conduct Authority (“FCA”) sets high standards for individuals in Senior Management Functions (“SMFs”) and Certification function individuals within regulated firms. The Fit and Proper (“F&P”) Test as outlined […] [...]
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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