The Financial Conduct Authority (“FCA”) in its recent Consultation Paper CP24/15 (“CP”), aimed to address the ongoing concerns and complexities surrounding motor finance complaints, particularly those involving Discretionary Commission Arrangements […] [...]
Funeral Plan Providers and Intermediaries came under regulatory oversight by the Financial Conduct Authority (“FCA”) on 29 July 2022. The goal of the FCA in regulating this sector was to […] [...]
Introduction The Payment Systems Regulator (PSR) and the Financial Conduct Authority (FCA) have published a joint Consultation Paper (“CP24/9”) exploring the current landscape, competitive dynamics, opportunities, risks and regulatory considerations […] [...]
What are AML Risk Assessments and Why are They Important? Anti-Money Laundering (AML) Risk Assessments are systematic evaluations conducted by financial institutions to identify, assess and mitigate the risks of […] [...]
Introduction Crypto-assets are becoming increasingly popular as financial products, with more and more businesses venturing into the ‘crypto space’. This has brought an increasing focus from Regulators on how these […] [...]
As outlined in our previous article, the government has introduced a more streamlined entry gateway to the UK market for European Economic Area (EEA) funds authorised under the UCITS (Undertakings […] [...]
On 08 July 2024, the FCA published its Quarterly Consultation Paper No. 44 (CP24/11) on proposed miscellaneous amendments to the FCA Handbook. These are relatively minor changes, however the Regulator […] [...]
Ensuring compliance is paramount in all sectors, including the insurance industry. A comprehensive compliance framework must address all critical elements, including stringent consumer data protection and effective anti-money laundering (AML) […] [...]
The Financial Conduct Authority (FCA) has heightened its scrutiny of non-financial misconduct within the insurance industry. Conduct issues such as discrimination, harassment, bullying and victimisation have become a top priority […] [...]
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 Q&A Webinar: Expert Insights and […] [...]
On 26th June 2024, the Financial Conduct Authority (FCA) published the findings of a review it had carried out on how insurance firms monitor, assess and test the outcomes their […] [...]
The National Private Placement Regime (“NPPR”) stands as a pivotal framework for Alternative Investment Fund Managers (“AIFMs”) looking to access the UK’s lucrative investment market. With the UK’s departure from […] [...]
Welcome to our Compliance Glossary section, designed to provide clarity and understanding of key terms related to Senior Management Functions (SMFs). This resource aims to support compliance professionals in navigating […] [...]
The European Union’s new Anti-Money Laundering (AML) reforms are set to transform the financial sector with the establishment of the Anti-Money Laundering Authority (AMLA). The new EU authority, which will […] [...]
What Does This Mean for the Regulatory Landscape? On the 17th of July 2024, Parliament convened for the State Opening. During the King’s speech, the first legislative session commenced, […] [...]
Microsoft’s severe global operational outage that happened today 19th July, caused widespread disruptions across various sectors. This incident had significant implications for businesses and consumers alike, highlighting vulnerabilities in our […] [...]
The UK’s financial regulatory framework is complicated, with several directives and permissions in place to ensure the integrity of the financial markets. Two important components of this framework are the […] [...]
The Financial Conduct Authority (“FCA”) has issued a statement cautioning Principal firms with oversees appointed representatives (“OARs”). In its warning to Principals, the Regulator outlined its expectations in light of […] [...]
Webinar On Demand: Consumer Duty – Are You Prepared? view the webinar with ViCA Access This webinar is now available to view on demand Our webinar on Consumer Duty – […] [...]
The Client Assets Sourcebook (CASS), governed by the Financial Conduct Authority (FCA), stands as a safeguard against the financial turmoil that has historically fallen onto institutions and clients alike. The […] [...]
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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