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How Compliant are your Financial Promotions?

With services from trading apps to cryptoassets being promoted anywhere from YouTube to the sides of London buses, it is no surprise that the Financial Conduct Authority (FCA) recently published […] [...]

FCA Authorisation: Navigating the Path to Success

Applying for FCA Authorisation can be a daunting and complex undertaking with no guarantee of success; 1 in 5 firms which applied for authorisation during 2021 were refused, rejected, or […] [...]

CP22/2 – FCA to Strengthen Financial Promotions Rules to Protect Consumers

The pandemic and the changing investment environment have exacerbated the proportion of consumers holding high-risk investments due to long-term social and economic factors and the distribution of promotions to a […] [...]

Financial Services Companies Warned To Ensure Rules Followed on Data Protection Day

London – Financial Services firms are being warned by compliance and regulations consultancy Complyport on International Data Protection Day that they must ensure they gain explicit client consent for data […] [...]

Meeting the FCA’s New Operational Resilience Requirements – Webinar Recording

The release of the FCA’s Operational Resilience Policy (PS21/3) outlines new rules coming into force on 31 March 2022. Firms that fall within scope must have identified their important business […] [...]

Update Systems and Processes or Risk Failure to Meet Operational Resilience Deadline

A premium service led by Cybersecurity, Risk, and Organisational Resilience experts helps firms prepare for new expectations from UK financial regulators. LONDON –With a new policy from the Financial […] [...]

Managing the Risk to Your Firm & Dealing with the Regulatory Changes in Operational Resilience

The release of the FCA’s Operational Resilience Policy (PS 21/3) outlines new rules coming into force on 31 March 2022. Firms that fall within scope must have identified their important […] [...]

Warning Notice Statements For GAM International Management and Timothy Haywood

In 2018 the FCA launched an investigation into Swiss asset management firm – GAM International Management Limited (GIML). The investigation was prompted by allegations concerning Timothy Haywood, former head of […] [...]

Complyport’s Response to NatWest Money Laundering Fine

Failure to spot offences at multiple levels of the organisation necessitates “culture of compliance from the top down” and review of training & procedures. On Monday 13 December, NatWest plead […] [...]

FCA Plans For Stronger Nudge Towards Pension Guidance Via Pension Wise

In December 2021, the FCA published its Policy Statement: ‘PS21/21: The stronger nudge to pensions guidance: feedback on CP21/11 and final rules and guidance’. This statement summarises the feedback received […] [...]

FCA Consultation CP21/36: A New Consumer Duty

On 7th December 2021 the FCA released CP21/36, a consultation to the industry with proposed updates and strengthening of Consumer Duty rules. This consultation provided further details of Consumer Duty […] [...]

Complyport – More needs to be done to crack down on institutionalised corruption

LONDON–(BUSINESS WIRE)–Complyport a City of London compliance and regulatory consultancy on International Anti-Corruption Day, has called on private and public bodies to ensure accountability, integrity, and transparency in procurement processes, […] [...]

Category: Latest News

How Compliant are your Financial Promotions?

FCA Authorisation: Navigating the Path to Success

CP22/2 – FCA to Strengthen Financial Promotions Rules to Protect Consumers

Financial Services Companies Warned To Ensure Rules Followed on Data Protection Day

Meeting the FCA’s New Operational Resilience Requirements – Webinar Recording

Update Systems and Processes or Risk Failure to Meet Operational Resilience Deadline

Managing the Risk to Your Firm & Dealing with the Regulatory Changes in Operational Resilience

Warning Notice Statements For GAM International Management and Timothy Haywood

Complyport’s Response to NatWest Money Laundering Fine

FCA Plans For Stronger Nudge Towards Pension Guidance Via Pension Wise

FCA Consultation CP21/36: A New Consumer Duty

Complyport – More needs to be done to crack down on institutionalised corruption

Summary of Appointed Representatives Consultations – CP21/34

FCA Strengthens Protection for Vulnerable Customers: CP21/36: A new Consumer Duty

Webinar – Implementing IFPR – A detailed review of the ICARA preparation process

Financial Crime Highlight – Money Laundering Directive and Predicate Offences

Implementation of Investment Firms Prudential Regime – Final Policy Statement – PS21/17

As The Principal firm, Do You Know What Your Appointed Representatives Are Doing?

Summary: DP21/4: Sustainability Disclosure Requirements (SDR) and investment labels

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