FCA - Complyport UK Consultancy Service

FCA Finalises Changes to Safeguarding Regime for Payments and E-Money Firms

The Financial Conduct Authority (FCA) has published its final policy statement, PS25/12, confirming a package of measures to reinforce the safeguarding of customer funds held by payment institutions and e-money […] [...]

What the FCA’s Algorithmic Trading Review Means for Firms

Algorithmic trading has reshaped financial markets, driving speed, efficiency and innovation to unprecedented levels. However, with such power comes increased responsibility. The Financial Conduct Authority’s (FCA) latest multi-firm review of […] [...]

FCA Warns of Surge in Impersonation Scams in Early 2025

On 27 August 2025, the Financial Conduct Authority (FCA) issued a warning to consumers following nearly 5,000 reports of fraudulent schemes impersonating the regulator during the first half of 2025. […] [...]

Beware of Car Finance Scam Calls: FCA Issues Urgent Warning

Setting the Scene The Financial Conduct Authority (FCA) has issued a warning to motorists across the UK regarding a rise in fraudulent activity linked to car finance compensation. As the […] [...]

Understanding the FCA’s CP25/23 Consultation: Regulating Deferred Payment Credit (DPC)

The Financial Conduct Authority (FCA) has published Consultation Paper CP25/23, Deferred Payment Credit (unregulated Buy Now Pay Later): Proposed Approach to Regulation. This paper seeks feedback on the FCA’s proposed […] [...]

UK Gambling Commission Enforces £1m AML Fine: A Wake-Up Call for the Industry

The Gambling Commission has intensified its enforcement against non-compliant gambling operators, with a recent £1 million fine imposed on ProgressPlay Limited underscoring the critical need for robust Anti-Money Laundering (“AML”) […] [...]

The FCA’s Approach to Climate Change and Sustainable Finance: A Comprehensive Overview

As climate-related risks increasingly shape global financial systems, regulatory bodies are stepping up their oversight to ensure firms are resilient, transparent and accountable. In the UK, the Financial Conduct Authority […] [...]

A Record-Breaking Year for Consumer Disputes

In July 2025 the Financial Ombudsman Service (FOS) published its annual complaints data and insights for 2024/25, which revealed a significant increase in complaints. The volume of complaints received by […] [...]

Targeted Support: A Smarter Way to Help Consumers with Pensions and Investments

A New Era for Financial Guidance The Financial Conduct Authority (FCA) published Consultation Paper CP25/17, setting out proposals for a new framework called Targeted Support. This initiative is designed to […] [...]

The FCA’s UK Presence Requirement for International Firms

The Financial Conduct Authority (FCA) operates one of the most open and internationally engaged financial regulatory regimes. However, for overseas firms wishing to service UK clients, this openness comes with […] [...]

FCA Opens Retail Access to Crypto ETNs

Importance of Regulated Crypto Investment The growing mainstream acceptance of cryptoassets has increased demand for regulated investment vehicles that provide retail investors with access to digital assets like Bitcoin and […] [...]

FCA Fines Brokerage Firm for Transaction Reporting Failures

On 1 August 2025, the Financial Conduct Authority (FCA) announced in its Final Notice that it had fined Sigma Broking Limited a total of £1,087,300 for significant and prolonged failures […] [...]

SM&CR Reform: FCA CP25/21 Explained – Key Changes and Actions for Firms

Introduction The FCA’s CP25/21, published in July 2025, proposes several streamlining changes to the SM&CR as part of Phase 1 of a wider two-phase reform. While no immediate legal changes […] [...]

FCA Strengthens Protections for Buy-Now Pay-Later Borrowers

The Financial Conduct Authority (FCA) has taken further steps to enhance consumer protection in the rapidly growing Buy-Now Pay-Later (BNPL) sector. These interim measures address rising concerns around consumer understanding […] [...]

CP25/21: Inside the FCA’s Proposed Changes to SM&CR

The Senior Managers & Certification Regime (SM&CR) was introduced to strengthen individual accountability across the financial services sector. It replaced the Approved Persons Regime, applying to banks in 2016 and […] [...]

Treatment of Politically Exposed Persons in AML Compliance

Importance of PEP Identification and Management Effective identification and management of Politically Exposed Persons (PEPs) is a cornerstone of robust Anti-Money Laundering (AML) frameworks for financial institutions. PEPs, due to […] [...]

Strengthening Financial Services Through Technology and Oversight

The Financial Conduct Authority (FCA) has released its Annual Report for 2024, marking the final year of its 2022-2025 strategic cycle. The report highlights significant achievements in using data and […] [...]

FCA Multi-Firm Review: Risk Management and Wind-Down Planning

Overview The UK payments sector is experiencing significant growth and innovation, driven by technological advancements and changing consumer preferences. However, this rapid expansion has not always been accompanied by mature […] [...]

FCA Introduces Faster Authorisation Timelines to Support Growth

The Financial Conduct Authority (FCA) has announced a bold initiative to accelerate approvals for new firms and regulatory variations, designed to fuel growth, support innovation and maintain the UK’s position […] [...]

Tag: FCA

FCA Finalises Changes to Safeguarding Regime for Payments and E-Money Firms

What the FCA’s Algorithmic Trading Review Means for Firms

FCA Warns of Surge in Impersonation Scams in Early 2025

Beware of Car Finance Scam Calls: FCA Issues Urgent Warning

Understanding the FCA’s CP25/23 Consultation: Regulating Deferred Payment Credit (DPC)

UK Gambling Commission Enforces £1m AML Fine: A Wake-Up Call for the Industry

The FCA’s Approach to Climate Change and Sustainable Finance: A Comprehensive Overview

A Record-Breaking Year for Consumer Disputes

Targeted Support: A Smarter Way to Help Consumers with Pensions and Investments

The FCA’s UK Presence Requirement for International Firms

FCA Opens Retail Access to Crypto ETNs

FCA Fines Brokerage Firm for Transaction Reporting Failures

SM&CR Reform: FCA CP25/21 Explained – Key Changes and Actions for Firms

FCA Strengthens Protections for Buy-Now Pay-Later Borrowers

CP25/21: Inside the FCA’s Proposed Changes to SM&CR

Treatment of Politically Exposed Persons in AML Compliance

Strengthening Financial Services Through Technology and Oversight

FCA Multi-Firm Review: Risk Management and Wind-Down Planning

FCA Introduces Faster Authorisation Timelines to Support Growth

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