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Financial Promotions on Social Media

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 […] [...]

Case Update: ‘Finfluencers’ charged for promoting unauthorised investment scheme plead NOT guilty

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 […] [...]

Urgent Action Needed as Consumer Duty Deadline for Closed Books Looms

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 […] [...]

Navigating FCA’s Supervisory Focus: Key Insights for Asset Managers

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 […] [...]

Insurance Compliance in the Spotlight: Complyport Launches Expert Services

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 […] [...]

Are You Treating Your Customers Fairly?

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 FCA’s ambitions for 2024-2025. Here’s what you need to know

FCA Unveils Ambitious Plan for the Upcoming Year The Financial Conduct Authority (FCA) has published its press release announcing its Business Plan for 2024-25, marking the final phase of its […] [...]

The Consumer Duty – Is Your Programme Fit For Purpose?

Recently the FCA has provided feedback regarding the first 6 months of Consumer Duty (“the Duty”) implementation. This has been given through both a speech, delivered by Sheldon Mills, and […] [...]

The FCA’s Vigilance in Setting Fair Standards within UK Financial Services: A Closer Look at the Treatment of Politically Exposed Persons (“PEPs”)

The Financial Conduct Authority (“FCA”) is steadfast in its commitment to maintaining a UK financial system which is clean, free from corruption and guarded against financial crime. The regulator launched […] [...]

Tag: Consumer duty

Financial Promotions on Social Media

Case Update: ‘Finfluencers’ charged for promoting unauthorised investment scheme plead NOT guilty

Urgent Action Needed as Consumer Duty Deadline for Closed Books Looms

Navigating FCA’s Supervisory Focus: Key Insights for Asset Managers

Insurance Compliance in the Spotlight: Complyport Launches Expert Services

Are You Treating Your Customers Fairly?

The FCA’s ambitions for 2024-2025. Here’s what you need to know

The Consumer Duty – Is Your Programme Fit For Purpose?

The FCA’s Vigilance in Setting Fair Standards within UK Financial Services: A Closer Look at the Treatment of Politically Exposed Persons (“PEPs”)

The FCA’s Supervision Strategy for Corporate Finance Firms

Webinar Recording: How Ready Are You for The FCA’s New Consumer Duty Rules?

How Will The FCA Consumer Duty Rules Affect Firms Applying For Authorisation?

Consumer Duty Changes: Strengthening The FCA’s Financial Promotion Rules

Consumers to Benefit From New FCA Consumer Duty Rules

FCA Consultation CP21/36: A New Consumer Duty

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Surviving a CBUAE / DFSA Inspection: A Practical Playbook

Vulnerable Customers: From FCA Expectations to Practical Compliance

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