Compliance - Complyport UK Consultancy Service

UK Government: New Measures for Cyber Security and Operational Resilience

Introduction In April 2025, the UK Department for Science, Innovation and Technology (DSIT) released the Cyber Security and Resilience Policy Statement, detailing legislative proposals for the Cyber Security and Resilience […] [...]

Cryptoasset Activities under the UK Regulatory Microscope

Introduction The FCA’s latest Discussion Paper DP25/1, titled “Regulating Cryptoasset Activities,” outlines its proposed approach to regulating the cryptoasset sector in the United Kingdom. This initiative follows HM Treasury’s 2023 […] [...]

Understanding the Difference Between SCA and VARA Crypto Licences in the UAE

As the UAE strengthens its position as a global hub for virtual assets, two regulatory bodies have emerged at the forefront: the Securities and Commodities Authority (SCA) and Dubai’s Virtual […] [...]

FCA Bulletin 54: A New Era for UK Primary Markets

The Financial Conduct Authority (FCA) has released its latest Primary Market Bulletin 54 (PMB 54), offering crucial insights into the evolving landscape of the UK’s primary markets. This edition underscores […] [...]

Suspicious Activity Reporting: What You Need to Know

Overview Money laundering poses a significant threat to the UK’s financial system, enabling organised crime groups to conceal illicit funds and sustain their criminal activities. The National Crime Agency (NCA) […] [...]

DFSA AML Return: Key Compliance Guidelines for DIFC-Regulated Brokerages

If your brokerage operates within the Dubai International Financial Centre (“DIFC”) and is regulated by the Dubai Financial Services Authority (“DFSA”), there are specific Anti-Money Laundering (“AML”) compliance obligations you […] [...]

Consumer Support Outcome: FCA Good and Bad Practices

Introduction The Financial Conduct Authority (FCA) has released a comprehensive review of firms’ approaches to delivering the consumer support outcome, one of the four core components of the Consumer Duty. […] [...]

Strengthening Liquidity Risk Management: Insights from the FCA’s Multi-Firm Review

In today’s volatile financial landscape, liquidity risk management is more crucial than ever. The Financial Conduct Authority (FCA) recently conducted a multi-firm review of liquidity risk management practices across wholesale […] [...]

Elevating Financial Promotions: FCA’s 2024 Data Insights

The Financial Conduct Authority (“FCA”) has taken significant steps in 2024 to protect consumers from misleading Financial Promotions. With nearly 20,000 advertisements amended or withdrawn, the FCA’s proactive approach underscores […] [...]

A Path Forward for Claims Management Companies

Introduction The Financial Conduct Authority (FCA) recently wrote to Claims Management Companies (CMCs) to outline its latest supervisory strategy for the coming years. The FCA reaffirmed its commitment to ensuring […] [...]

Section 165 – Wealth Management and Stockbroking Sector Survey

Introduction In February 2025, a number of firms will have received a Section 165 request, which is a mandatory regulatory request for information on various aspects of their business. This […] [...]

Consumer Duty Champion Requirement: A Best Practice Approach

Introduction The Financial Conduct Authority (FCA) continues to refine its regulatory framework to balance consumer protection, market integrity, and economic growth. Recently, the FCA clarified that appointing a Consumer Duty […] [...]

FCA’s 2025 Priorities: What Asset Managers Need to Know

In February 2025, the Financial Conduct Authority (FCA) released a pivotal ‘Dear CEO’ letter, delineating its supervisory priorities for the asset management and alternatives sector. This communication underscores the FCA’s […] [...]

FCA Insights into Private Market Valuations: Preparing for the Future

Private markets have become a vital component of modern investment strategies, offering unique opportunities for diversification and long-term growth. The Financial Conduct Authority (FCA) has conducted a comprehensive review of […] [...]

Elevating Financial Promotions: FCA’s 2024 Data Insights

Insights from the FCA’s Review on Vulnerable Customer Support

On 7th March 2025, the Financial Conduct Authority (FCA) published its review on how firms are treating customers in vulnerable circumstances. The review forms part of the FCA’s ongoing commitment […] [...]

The Interim Capital Regime – Further Clarification by the Prudential Regulation Authority

PS19/24 – Strong and Simple Framework: The definition of an Interim Capital Regime (“ICR”) firm was issued by the Prudential Regulation Authority (“PRA”) at the end of 2024 and is […] [...]

FCA’s Vision for 2025-2030: Driving Innovation, Growth, and Consumer Protection

The Financial Conduct Authority (FCA) has unveiled its strategic vision for 2025 to 2030, emphasising four pivotal outcomes: becoming a smarter regulator, supporting economic growth and innovation, enhancing consumer protection, […] [...]

Establishing a Robust Compliance Framework in the Insurance Industry

Ensuring compliance is paramount in all sectors, including the insurance industry. A comprehensive compliance framework must address all critical elements, including stringent consumer data protection and effective anti-money laundering (AML) […] [...]

Webinar: Green Claims to Genuine Practices: Understanding the FCA’s 2024 ESG and Greenwashing Regulations

Transparency, honesty, and sustainability are not just buzzwords but indispensable to the UK financial market this year. With the Financial Conduct Authority (FCA) anti-greenwashing rules coming into effect on 31st […] [...]

Tag: Compliance

UK Government: New Measures for Cyber Security and Operational Resilience

Cryptoasset Activities under the UK Regulatory Microscope

Understanding the Difference Between SCA and VARA Crypto Licences in the UAE

FCA Bulletin 54: A New Era for UK Primary Markets

Suspicious Activity Reporting: What You Need to Know

DFSA AML Return: Key Compliance Guidelines for DIFC-Regulated Brokerages

Consumer Support Outcome: FCA Good and Bad Practices

Strengthening Liquidity Risk Management: Insights from the FCA’s Multi-Firm Review

Elevating Financial Promotions: FCA’s 2024 Data Insights

A Path Forward for Claims Management Companies

Section 165 – Wealth Management and Stockbroking Sector Survey

Consumer Duty Champion Requirement: A Best Practice Approach

FCA’s 2025 Priorities: What Asset Managers Need to Know

FCA Insights into Private Market Valuations: Preparing for the Future

Elevating Financial Promotions: FCA’s 2024 Data Insights

Insights from the FCA’s Review on Vulnerable Customer Support

The Interim Capital Regime – Further Clarification by the Prudential Regulation Authority

FCA’s Vision for 2025-2030: Driving Innovation, Growth, and Consumer Protection

Establishing a Robust Compliance Framework in the Insurance Industry

Webinar: Green Claims to Genuine Practices: Understanding the FCA’s 2024 ESG and Greenwashing Regulations

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Webinar: Beyond Compliance: What the 2025 Consumer Duty Report Tells Us

Webinar: Unlocking the Power of ViCA, Your AI-Powered Virtual Compliance Assistant

Online Training Course: Your MLRO Training Day

Webinar: Navigating the IFPR Impact: Good and Poor Practices Observed

In-Person Training Course: Your MLRO Training Day

In-Person Training Course: Your MLRO Training Day

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