The Financial Conduct Authority (FCA) has recently released a pivotal Consultation Paper, CP24/24: The MiFID Organisational Regulation. This Paper outlines the FCA’s proposal to incorporate the firm-facing requirements of the […] [...]
The Financial Conduct Authority (‘FCA’) has recently published a comprehensive assessment of Consumer Duty Board Reports, identifying both strong practices and areas requiring improvement, aiming for firms to improve their […] [...]
Introduction On 18th September 2024, the Financial Conduct Authority (“FCA”) set out an update to its initial observations of the Price and Value framework introduced by the Consumer Duty (the […] [...]
Webinar On Demand: Consumer Duty Q&A : Expert Insights and Answers This webinar is now available to view on demand Our webinar on Consumer Duty The Aftermath was held on […] [...]
Introduction We are now a little over a year into the full implementation of the Consumer Duty, on 31st July 2023, with closed products now also subject to the rules. […] [...]
The Financial Conduct Authority (“FCA”) in July 2024 published a Call for Input to assess the impact of the Consumer Duty rules on businesses and consumers and to understand how […] [...]
Funeral Plan Providers and Intermediaries came under regulatory oversight by the Financial Conduct Authority (“FCA”) on 29 July 2022. The goal of the FCA in regulating this sector was to […] [...]
Introduction The Payment Systems Regulator (PSR) and the Financial Conduct Authority (FCA) have published a joint Consultation Paper (“CP24/9”) exploring the current landscape, competitive dynamics, opportunities, risks and regulatory considerations […] [...]
What are AML Risk Assessments and Why are They Important? Anti-Money Laundering (AML) Risk Assessments are systematic evaluations conducted by financial institutions to identify, assess and mitigate the risks of […] [...]
Introduction Crypto-assets are becoming increasingly popular as financial products, with more and more businesses venturing into the ‘crypto space’. This has brought an increasing focus from Regulators on how these […] [...]
As outlined in our previous article, the government has introduced a more streamlined entry gateway to the UK market for European Economic Area (EEA) funds authorised under the UCITS (Undertakings […] [...]
On 08 July 2024, the FCA published its Quarterly Consultation Paper No. 44 (CP24/11) on proposed miscellaneous amendments to the FCA Handbook. These are relatively minor changes, however the Regulator […] [...]
On 26th June 2024, the Financial Conduct Authority (FCA) published the findings of a review it had carried out on how insurance firms monitor, assess and test the outcomes their […] [...]
On 20th June 2024, the FCA published a press release presenting the results of its experiment, testing the effect of Digital Engagement Practices (DEPs) used by trading apps on consumer […] [...]
Social media is increasingly becoming central to our lives, with different platforms being used for differing purposes. However, it is important for firms and individuals on these platforms to remember […] [...]
On 16 May 2024, the Financial Conduct Authority (“FCA”) brought charges against nine social media influencers in an unprecedented case. On 13 June 2024, at Westminster Magistrates’ Court, three out […] [...]
With over 1 month until the 31 July 2024 implementation deadline, financial services firms must accelerate their preparations to apply the Consumer Duty to closed products and services. The FCA […] [...]
On the 1st of March 2024, the Financial Conduct Authority (“FCA”) wrote to CEOs in the asset management and alternatives sector with an update to its supervisory approach. We know […] [...]
Our industry observations At Complyport, we have observed a pivotal regulatory shift within the insurance sector. This is all but confirmed by the Financial Conduct Authority’s (FCA) Dear CEO […] [...]
Creating a culture of fairness in customer treatment is not just a regulatory requirement; it’s a cornerstone of trust and integrity for firms in the financial services industry. Firms seeking […] [...]
The Regulatory Gateway for Financial Promotions is Here
Navigating KYC Challenges in 2024: Insights from the Q&A Session
Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024
Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024
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