Insights & Expertise
Our Insights & Articles
Ensuring your compliance is up to ...
2020 brought significant changes to the regulatory landscape in the UK with Brexit …
Publication of financial instruments reference data ...
On 6 January 2021, the European Securities and Markets Authority (ESMA) published its first set …
ESMA reminds firms of the MIFID ...
On 13 January 2021, ESMA issued a Public Statement to remind firms of the …
Brexit and UK Financial Services Compensation ...
The Financial Services Compensation Scheme (FSCS) provides compensation and protection to customers of …
FCA – Brexit: information for retail ...
The UK retail investments sector comprises many relatively small UK firms servicing primarily …
FCA publishes coronavirus financial resilience survey ...
On 7 January 2021, the FCA published the results of its coronavirus (Covid-19) …
FCA policy statement Proposals to enhance ...
On 21 December, the FCA published a Policy Statement, final rule and guidance …
FCA warns consumers of the risks ...
The FCA is aware that some firms are offering investments in cryptoassets, or …
Completing sterling LIBOR transition by end-2021
After many years of preparation, 2021 is the critical year for firms to …
Buy now, pay later (BNPL) firms ...
The FCA has published a report on change and innovation in the unsecured …
Regulation in the Insurance Industry: Looking ...
Aim of the Webinar 2020 was a year that demanded seismic shifts in the …
New Survey of Financial Services firms: ...
New Survey of Financial Services firms: 63% do not believe Government has done …
TMPR — Key Brexit Action for ...
Written by Mike Dalmiras The UK left the EU on 31 January 2020. Since …
‘Final Preparations For End Of The ...
Written by Mike Dalmiras The Bank of England together with the FCA have written …
Brexit Risks In Financial Services
Written by Paul Grainger, CEO, Complyport. Many financial services firms face risks relating to …
ECJ fines Ireland €2 million for ...
The Court of Justice of the EU (the “ECJ”) ordered Ireland to pay …
ESMA updates statements on the impact ...
ESMA has updated two statements on its approach to the application of key …
Liquidity Stress Testing
On 2nd September 2019 ESMA issued its final report on the Guidelines on Liquidity …
The Fifth Money Laundering Directive (AMLD5) ...
What is the Fifth Money Laundering Directive? The Fifth Money Laundering Directive, commonly known …
SMCR: FCA Updates Expectations on Fitness ...
The FCA updated its webpage on the Senior Managers and Certification Regime (SMCR) for solo-regulated …