FCA Asset Management Conference – Insights
On 12 June, London’s Queen Elizabeth II Centre was home to the FCA Asset Management Conference 2018. The conference began with a keynote speech by Andrew Bailey, the Chief Executive […] [...]
On 12 June, London’s Queen Elizabeth II Centre was home to the FCA Asset Management Conference 2018. The conference began with a keynote speech by Andrew Bailey, the Chief Executive […] [...]
In the last few weeks alone, we have seen massive password files allegedly posted online from LinkedIn (117 million users in June), Twitter (32 million users in June) and MySpace […] [...]
In its current format the FCA Handbook (SUP 10A.15) addresses a firm’s obligation to provide “all relevant information” regarding an ex (or soon to be ex) employee when requested by […] [...]
Currently firms are supervised in accordance with their conduct categorisation which ranges from C1 to C4 with the latter firms being subject to a much lighter regulatory touch (firms will […] [...]
With ‘financial crime’ having joined the FCA’s top seven risks – see the article on the FCA Business Plan in this Regulatory Roundup – the publication by HM Treasury of […] [...]
The FCA’s Business Plan for 2015/16 – see previous article in this Regulatory Roundup – advises us that to help embed its new strategy the FCA has made some changes […] [...]
Aviva Investors Global Services Ltd has been fined £17,607,000 for what the Final Notice describes as systems and controls failings which led to its failure to manage conflicts of interest […] [...]
The publication of three Final Notices reminds us that the FCA may not simply restrict its actions to authorised firms (in this case Financial Ltd and Investments Ltd) but can […] [...]
The use by firms of ‘social media’ e.g. Facebook, Twitter etc. has come under the FCA microscope with the publication of Finalised Guidance FG15/4 (“Social media and customer communications“). From […] [...]
With the regulation of consumer credit having come under the wing of the FCA last April, the number of firms that the FCA is responsible for has trebled over the […] [...]
No sooner had the FCA issued its policy statement on Enhanced Supervision (‘Tackling serious failings in firms‘ – see previous article in this Regulatory Roundup) than the Regulator published its […] [...]
The FCA has published a policy statement (‘Tackling serious failings in firms’) on how it will address serious failings of standards, governance and culture in firms. Although reference is made […] [...]
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 […] [...]
Regulatory Roundup 51 contained an article on the FCA’s recent thematic report on outsourcing in the asset management industry. Two key findings were inadequate oversight and inadequate contingency plans to […] [...]
In a recent speech to asset managers, Martin Wheatley Chief Executive of the FCA, returned to the topics of dealing commission and corporate access (Regulatory Roundup 47 had an article […] [...]
The FCA has published “Outsourcing in the Asset Management Industry: Thematic Project Findings Report” (TR13/10) which is based upon a sample of 17 asset managers (including 3 hedge fund managers). […] [...]
At an APCIMS conference Clive Adamson, FCA Director of Supervision, outlined the FCA supervision approach. Although the emphasis was upon the Wealth Management and Private Banking sector, firms as a […] [...]
The FSA has released a 122 page bumper edition of the latest Quarterly Consultation (CP10/10). Proposed changes in SUP include a rewording to SUP 10 Annex1 (FAQs) so removing the […] [...]
34 Lime Street
London
EC3M 7AT
United Kingdom
+44 (0)20 7399 4980
info@complyport.co.uk
Emirates Financial Towers
South Tower
Level 3, Office 308
DIFC, Dubai
United Arab Emirates
info@ae.complyport.com
2 Diagorou
ERA House
Ground Floor, 1097
Nicosia
Cyprus
info@cy.complyport.com
© Complyport 2025 | All Rights Reserved.