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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 […] [...]

How to Get FCA Authorised: A Step-by-Step Guide

If you are planning to launch a financial services business in the UK, whether it is a payments firm, investment adviser, e-money institution, or cryptoasset service provider, obtaining authorisation from […] [...]

Elevating Your Retirement Income Advice: FCA Guidance

Every retiree deserves financial confidence, and as the FCA’s thematic review highlights, effective retirement income advice is the cornerstone of that confidence. Crafting a robust decumulation strategy is not merely […] [...]

AML Flaws and Failings: Lessons to be Learned from Monzo Bank

Overview The UK’s Financial Conduct Authority (“FCA”) imposed a £21 million fine on Monzo Bank Ltd for significant failings in its Anti-Money Laundering (“AML”) systems and controls. The penalty stems […] [...]

FCA Enforcement Actions Following Thematic Review on Money Laundering in Markets

In its thematic review published on 23 January 2025, the Financial Conduct Authority (FCA) emphasised its awareness of the pervasive threat of money laundering through markets (MLTM) and stressed the […] [...]

FCA Launch New Invest Advice Assessment Tool

Introduction In June 2025 the Financial Conduct Authority (FCA) announced the launch of its Investment Advice Assessment Tool (“IAAT) to be utilised by the industry. This tool is intended to […] [...]

FOS Proposes Overhaul of Compensation Interest to Better Reflect Market Conditions

The Financial Ombudsman Service (FOS) has launched a consultation proposing a major revision to its longstanding 8% simple interest rate applied to compensation payments. The move seeks to better reflect […] [...]

Consumer Duty: Two Years On – Progress, Practice & Proactivity

As we approach the second anniversary of the FCA’s Consumer Duty implementation, Complyport hosted a live webinar to discuss how the landscape has evolved, the expectations that now define regulatory […] [...]

Tag: FCA

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

How to Get FCA Authorised: A Step-by-Step Guide

Elevating Your Retirement Income Advice: FCA Guidance

AML Flaws and Failings: Lessons to be Learned from Monzo Bank

FCA Enforcement Actions Following Thematic Review on Money Laundering in Markets

FCA Launch New Invest Advice Assessment Tool

FOS Proposes Overhaul of Compensation Interest to Better Reflect Market Conditions

Consumer Duty: Two Years On – Progress, Practice & Proactivity

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Top 10 Compliance Failures in UAE Firms (Based on Real Cases)

Payments & FinTech Compliance in the UAE: The Hidden Risks

Scale & Safeguard: Where Payments Are Changing and Where the Opportunity Really Is

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