Monitoring - Complyport UK Consultancy Service

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 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 Business Plan 2014/15

The FCA is now a year old and has recently published its second Business Plan, which provides an insight into the areas that the FCA will concentrate on, including by […] [...]

FCA Risk Outlook 2014

The publication of the FCA Business Plan 2014/15 (see separate article in this Regulatory Roundup) was accompanied by the FCA Risk Outlook 2014. The FCA Risk Outlook identifies potential issues […] [...]

Supervision of C4 Firms

When the FCA took over from the FSA, it introduced a new approach to supervision, albeit that for many small firms it may have been difficult to spot any practical […] [...]

Tag: Monitoring

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

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

FCA Business Plan 2014/15

FCA Risk Outlook 2014

Supervision of C4 Firms

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