Introduction The FCA recently requested data from 22 of the largest financial advice firms to review, with a focus on the suitability review process delivered by the sector. At the […] [...]

Introduction With the introduction of the Consumer Duty, the Financial Conduct Authority (FCA) has recently outlined its key supervisory focus areas to mortgage intermediaries for the next two years. The […] [...]

Quarterly Consultation CP24/11 The Financial Conduct Authority (“FCA”) consistently updates its regulatory framework to maintain the integrity and efficiency of financial markets. A recent example is the Collective Investment Schemes […] [...]

In an era of increasingly sophisticated financial fraud, the Financial Conduct Authority (“FCA”) has taken significant steps to combat money laundering and fraud through the National Fraud Database (“NFD”) and […] [...]

A Section 166 will sometimes require firms to take action to address deficiencies identified during the supervisory process, including those related to KYC (Know Your Customer) and AML (Anti-Money Laundering) […] [...]

The implementation of the Sustainability Disclosure Requirements (“SDR”) and investment labels marks a significant step towards enhancing transparency and accountability in sustainable finance. The SDR and investment labels framework has […] [...]

The Financial Conduct Authority (FCA) has recently released its Quarterly Consultation Paper No. 46 (CP24-26), The consultation opened on 6th December 2024, focusing on several key changes aimed at enhancing […] [...]

In February 2025, the Financial Conduct Authority (FCA) secured a confiscation order of £586,711.01 against a former Goldman Sachs analyst (Mohammed Zina) convicted of insider trading. This order amounts to […] [...]

The Financial Conduct Authority (FCA) has announced a series of innovative proposals aimed at fostering growth and expanding investment opportunities for businesses across the UK. These new measures are designed […] [...]

In a notable effort to maintain market integrity, the Financial Conduct Authority (“FCA”) has imposed its first penalty for transaction reporting failures under the UK Markets in Financial Instruments Regulation […] [...]

Navigating the regulatory landscape of the Financial Conduct Authority (“FCA”) is critical for motor finance firms looking to operate within the UK regulated market. One of the key considerations for […] [...]

Introduction The FCA has recently issued CP25/2 to get opinions from the sector regarding proposed changes in Public Offers and Trading Regime admissions as well as UK Listing Rules. These […] [...]

In today’s rapidly evolving financial landscape, innovative business models are becoming increasingly common. Firms leveraging cutting-edge technologies and novel approaches to financial services must navigate the regulatory environment with greater […] [...]

In a compelling speech delivered at the 10th Annual Culture and Conduct in Financial Services Summit, Emily Sheppard, Chief Operating Officer of the Financial Conduct Authority (“FCA”), emphasised a powerful […] [...]

The Financial Conduct Authority (“FCA”) and the Prudential Regulation Authority (“PRA”) have jointly launched a Consultation Paper (“CP24/23”) named CP24/23: Remuneration reforms, to increase the effectiveness of remuneration practices within […] [...]

PS19/24 – Strong and Simple Framework: The definition of an Interim Capital Regime (“ICR”) firm was issued by the Prudential Regulation Authority (“PRA”) at the end of 2024 and  is […] [...]

Since CP23/20: Diversity and inclusion in the financial sector was released in September 2023, the financial services sector has been awaiting a policy statement from the Financial Conduct Authority (“FCA”) […] [...]

Innovation in financial services is accelerating, with emerging technologies such as AI, blockchain, and open banking reshaping the industry. This is where Complyport Limited steps in, providing expert regulatory guidance […] [...]