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Tag: regulatory guidance

Complyport UK Consultancy Service > regulatory guidance
  • 01 December 202501 December 2025
  • Latest News

FCA Multi-Firm Review of Consolidation in the Financial Advice and Wealth Management Sector

The Financial Conduct Authority (FCA) has published its findings into a multi-firm review that it conducted into consolidation trends within the financial advice and wealth management sector. This review is relevant to firms operating in this sector, those considering […] [...]

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  • 21 November 202520 November 2025
  • Latest News

ESG Ratings Providers Brought Under FCA Oversight

The Financial Conduct Authority (FCA) has welcomed new UK Government legislation that formally brings Environmental, Social and Governance (ESG) ratings providers within its regulatory remit. This development represents a major […] [...]

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  • 07 November 202506 November 2025
  • Latest News

The FCA Warns Firms to Tighten Oversight of Off-Channel Communications and Vendor Risks

The Financial Conduct Authority (FCA) has urged firms to strengthen their oversight of off-channel communications and related vendor risks, following its recent review of practices across eleven wholesale banks. The […] [...]

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  • 07 October 202506 October 2025
  • Latest News

A Timely Caution for UK Investors from the FCA

The Financial Conduct Authority (FCA) has issued a warning call to investors across the UK financial market. Individuals are increasingly being drawn into high-risk schemes promoted by firms that are […] [...]

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  • 27 August 202527 August 2025
  • Latest News

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 […] [...]

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INSIGHTS & EXPERTISE

Proactive monitoring and assessment of international Regulatory News and Industry Developments.
  • The Regulatory Gateway for Financial Promotions is Here

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The Regulatory Gateway for Financial Promotions is Here

  • Navigating KYC Challenges in 2024: Insights from the Q&A Session

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Navigating KYC Challenges in 2024: Insights from the Q&A Session

  • Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024

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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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Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024

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