Insights & Expertise
Our Insights & Articles
Update Systems and Processes or Risk ...
A premium service led by Cybersecurity, Risk, and Organisational Resilience experts helps firms …
Managing the Risk to Your Firm ...
The release of the FCA’s Operational Resilience Policy (PS 21/3) outlines new rules …
Warning Notice Statements For GAM International ...
In 2018 the FCA launched an investigation into Swiss asset management firm – …
Complyport’s Response to NatWest Money Laundering ...
Failure to spot offences at multiple levels of the organisation necessitates “culture of …
FCA Plans For Stronger Nudge Towards ...
In December 2021, the FCA published its Policy Statement: ‘PS21/21: The stronger nudge …
FCA Consultation CP21/36: A New Consumer ...
On 7th December 2021 the FCA released CP21/36, a consultation to the industry …
Complyport – More needs to be ...
LONDON--(BUSINESS WIRE)--Complyport a City of London compliance and regulatory consultancy on International Anti-Corruption …
Summary of Appointed Representatives Consultations – ...
The FCA have recently published CP21/34, a consultation paper which outlines their proposed …
FCA Strengthens Protection for Vulnerable Customers: ...
The Consultation Paper (CP), CP21/36, maps out the FCA’s current stance in relation …
Webinar – Implementing IFPR – A ...
The Investment Firm Prudential Regime (IFPR) will be impacting all UK investment firms …
Financial Crime Highlight – Money Laundering ...
An Financial Crime Highlight by Complyport's Financial Crime and Forensics Unit. The European Union’s …
Implementation of Investment Firms Prudential Regime ...
The FCA issued its third and final IFPR policy statement (PS21/17) on 26th …
As The Principal firm, Do You ...
The FCA’s review of the use of Appointed Representatives (AR) is one of …
Summary: DP21/4: Sustainability Disclosure Requirements (SDR) ...
The Discussion Paper (DP), DP21/4, maps out the FCA’s current stance in relation …
Martin Schofield to lead Complyport Financial ...
City of London, England, Nov.19 2021 Complyport a London based compliance and regulatory …
FCA IFPR Newsletter – What to ...
The FCA are intensifying their preparations for the launch of the IFPR regime …
FCA Dear CEO letter – Wealth ...
The FCA has recently published a Dear CEO letter providing an update of …
The UK’s new authorised open-ended fund: ...
In October, the FCA published its Policy Statement 'PS21/14: A new authorised fund …
Appointed Representative and Principal Regime Review
Review of the use of the Appointed Representatives’ (AR) regime is a priority …
FCA IFPR Questionnaire – What to ...
The introduction of the IFPR regime is fast approaching (January 2022), and the …