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FCA Finalises Sustainability Disclosure Requirements for All Authorised Firms
After much speculation, PS23/16 was finally unveiled on 28 November 2023. As consumer demand for sustainable investment products increases, the Financial Conduct Authority (“FCA”) recognises
CP22/23 – Consultation Paper on Fees and Levies for 2024/25
The FCA has recently published its Consultation Paper on Regulatory fees and levies: policy proposals for 2024/25, which sets out the FCA’s proposed policy changes
The FCA’s Investment Firms Prudential Regime (IFPR) Observations – Ensuring Best Practice Under IFPR
The UK Financial Conduct Authority (FCA) recently completed a review of investment firms’ implementation of the Internal Capital and Risk Assessment (ICARA) process under the
AI-Powered Financial Firms: Navigating the Future
This November, the UK has been at the forefront of Artificial Intelligence (“AI”) discussions, with Prime Minister Rishi Sunak hosting the world’s first Global AI
Internal Audit – Your Third Line of Defence Against Regulatory Penalties
As regulations grow more complex, financial services firms face increasing scrutiny of their governance and controls. Robust internal audits are essential to test and evidence
FCA Expectations for Wealth Management and Stockbroking Firms
What is the FCA Saying? The FCA has recently published a “Dear CEO” letter to Wealth Management and Stockbroking Firms to highlight the harms that
Cryptoassets: The Importance of Internal Audit for FCA AML/CFT Compliance
The Financial Conduct Authority (“FCA”) recently published a memo related to companies dealing in cryptoassets. The update sets out requirements as part of the wider
16th Nov 2023: MLRO Training Day
Your MLRO Training Day With regulatory fines exceeding £600 million in the past two years due to failures in AML systems and controls – are