Insights & Expertise
Our Insights & Articles
Global Anti-Corruption Sanctions Regime 2021
On 26 April 2021, the Global Anti-Corruption (GAC) sanctions regime was established via …
FCA secures bankruptcy of 3 individuals ...
On 6 May 2020, following a trial, the High Court ordered the payment …
FCA Second consultation on new prudential ...
The Investment Firm Prudential Regime (IFPR) introduces a new prudential regime for MiFID …
FCA’s business plan for 2021/2022
On 20 April 2021, the FCA announced that it would publish its 2021/22 …
FCA sets out proposals to strengthen ...
On 29 April 2021, following feedback to its Call for Input (CFI) on …
FCA consults on strengthening investor protections ...
On 30 April 2021, the FCA launched a consultation on proposed changes to …
FCA bans and fines financial adviser ...
On 15 April 2021, the FCA banned Simon Varley from working in financial …
FCA webpage on climate change and ...
On 23 April 2021, the FCA published a new webpage on climate change …
FCA speech on “Cautious optimism for ...
On 22 April 2021, Charles Randell, Chair of the FCA, gave a speech …
FCA’s speech on regulating the UK ...
On 13 April, the FCA published a speech delivered by Nausicaa Delfas (Executive …
FCA speech on “Compliance, Culture and ...
On 26 April 2021, the FCA published a speech delivered by Mark Steward …
Start preparing for the new Prudential ...
written by Mike Dalmiras One of the many hot topics on the UK regulatory …
Fixing the Laundering Cycle
written by William Jamieson – Manager, Regulatory Services. The COVID-19 Pandemic demonstrated two things. …
Appointed Representatives – are principal firms ...
Written by Peter Wilson - Manager Appointed Representatives (ARs) are a common way for …
FCA admits FSCS levy is unsustainable
Speaking at the Personal Investment Management & Financial Advice Association (Pimfa) Virtual Fest …
FCA starts criminal proceedings against NatWest ...
On 16 March 2021, the FCA announced that it has commenced criminal proceedings …
FCA confirms the increase in thresholds ...
The FCA has confirmed changes to its rules to allow for an increase …
FCA update on support for consumers ...
Mortgages The FCA’s Mortgages Tailored Support Guidance sets out its expectation that firms should …
FCA Guidance for firms on the ...
On 23 February 2021, the FCA finalised its guidance setting out its view …
FCA Announcements on the end of ...
On 5 March 2021, the FCA announced the dates that panel bank submissions …