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August 12, 2020 How are you preparing for your firm’s SM&CR and conduct rules training?
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August 4, 2020 Will you comply with the FCA’s best practice guidance on vulnerable consumers?
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July 28, 2020 Could your fintech firm be involved in driving the recovery from coronavirus?
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July 24, 2020 Did you know that the FCA will soon have extended powers to cancel firms’ authorisations?
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July 22, 2020 Are you ready for the new financial promotions rules?
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July 21, 2020 Need help in understanding the FCA’s supervision and enforcement methods?
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July 20, 2020 Do you need to review your authorisation as an AIF manager?
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July 17, 2020 Are you ready for an FCA review of fund managers’ distributors?
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July 10, 2020 FCA portfolio strategy letter sent to authorised payment institutions & e-money issuers
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July 3, 2020 Are you familiar with the SM&CR implementation periods for solo-regulated firms?
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June 29, 2020 Is your investment or payment services firm up to date on ICT and security risk management?
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June 26, 2020 Are you preparing for the FCA’s new data collection platform, RegData?
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June 25, 2020 Is your understanding of the FCA’s capital adequacy requirements up to date?
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June 23, 2020 How well do you assess your customers’ creditworthiness?
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June 22, 2020 FCA fines Commerzbank London over anti-money laundering failures
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June 22, 2020 FCA permanently bans promotion of mini-bonds to retail investors
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June 15, 2020 How well do you assess the adequacy of your firm’s financial resources?
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June 11, 2020 Responding to the FCA’s payment services safeguarding consultation
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June 4, 2020 Cryptocurrency regulation: threat or opportunity?
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June 3, 2020 Are your mini-bond oversight arrangements up to scratch?
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June 2, 2020 Are your staff’s CPD arrangements up to date and comprehensive?
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May 14, 2020 Are your FCA authorisation applications up to scratch?
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May 13, 2020 Are you preparing for the FCA Directory?
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May 12, 2020 Are you preparing for the FCA Regulatory Initiatives Grid?
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May 5, 2020 Is your complaints handling up to scratch?
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April 29, 2020 AIMA requests clarification from FCA over AIFM transition period
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April 23, 2020 Is your understanding of FCA Gabriel reporting good enough?
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April 22, 2020 The funds industry may be set for a fresh regulatory wave and the advent of ‘systematic importance’
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April 15, 2020 What is the FCA looking for from firms today?
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April 8, 2020 Have you seen the FCA Business Plan and fees consultation?
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April 7, 2020 Dear CEO Letter: Coronavirus – firms providing services to retail investors
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April 2, 2020 Are you ready for the FCA’s new data collection platform?
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April 1, 2020 The coronavirus (COVID-19) pandemic
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March 31, 2020 Financial Ombudsman Service award limit adjustment from 1 April 2020
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March 17, 2020 Are you ready for the FCA’s new Form A?
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March 16, 2020 FCA firm resilience information requests
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March 13, 2020 The Forthcoming Overseas Funds Regime
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March 11, 2020 COVID-19 prompts FCA scrutiny of firms’ contingency plans
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March 10, 2020 Sector Views analysis: How does the FCA see your sector?
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March 9, 2020 ICO Codes of Conduct & Certification schemes: firms data accountability
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February 17, 2020 Are you protecting your firm against hacking?
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February 13, 2020 Are you ready for the FCA’s Financial Services Directory?
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February 10, 2020 eIDAS certificates deadline now just weeks away
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January 31, 2020 FCA warns asset managers on poor governance and failure to deliver value
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January 31, 2020 FCA warns financial advisers over inadequate financial resources and PII cover
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January 22, 2020 Is your cryptoasset business now prepared for regulation?
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January 17, 2020 Gabriel is being replaced: How will this affect your firm?
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December 9, 2019 FCA’s approach to AML regulation of firms’ cryptoasset activity
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November 26, 2019 The promotion of speculative mini-bonds to retail consumers
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November 18, 2019 FCA takes on AML supervision for Cryptoassets sector
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October 17, 2019 Is your business Brexit-ready?
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October 4, 2019 The FCA puts P2P firms on notice
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September 27, 2019 The EBA’s new outsourcing guidelines – What do they mean for your business?
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September 23, 2019 FCA confirms new rules for P2P platforms
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September 19, 2019 FCA cuts payment services firms some slack on SCA rules
Mandatory
September 16, 2019 Mandatory annual Connect update for all firms is coming
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August 12, 2019 FCA guidance on current cryptoassets regulation
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July 29, 2019 Cryptoassets regime, FCA is to supervise in the future
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July 17, 2019 What can we learn from the FCA’s consultation paper on CP19/20?
Crypto-derivatives sales ban proposed by the FCA
July 15, 2019 Crypto-derivatives sales ban proposed by the FCA
Fintech-Start-ups-Are-you-ready-willing-and-organised
July 9, 2019 Fintech Start-ups: Are you ready willing and organised?
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July 4, 2019 Wealth Management and Stockbroking – FCA Priorities
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June 24, 2019 Property Lending Sector: FCA Regulatory Review
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June 13, 2019 Capital markets money laundering risk gets the thematic review treatment
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June 10, 2019 Asset managers face new rules on shareholder engagement
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May 14, 2019 Senior Managers: Are you Fintech fit enough?
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April 24, 2019 The FCA and misleading financial promotions
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April 12, 2019 £102 million FCA fine for failings in Anti-Money Laundering (AML)
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April 11, 2019 FSCS Compensation – Have You Made Appropriate Changes?
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April 11, 2019 How to sell insurance add-ons compliantly
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March 12, 2019 P2P firms – have you thought about your wind-down arrangements?
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March 7, 2019 UPDATE – Brexit briefings for regulated firms
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February 11, 2019 FCA Policy Statement 19/4
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January 31, 2019 CASS Update
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January 16, 2019 MiFID II – A Year On
The Five Common Mistakes Made By Fintech Startups
January 15, 2019 The Five Common Mistakes Made By Fintech Startups
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January 9, 2019 Fund managers face forthcoming limited partnerships reform
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December 13, 2018 CP 18/21 – improving conduct standards & comms in the Payment Services and E-Money sectors
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December 5, 2018 Revised FCA Approach Document
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November 2, 2018 Autumn Budget 2018
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November 1, 2018 The FCA’s Green FinTech Challenge
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October 9, 2018 EMI Thematic Review
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October 8, 2018 Data breach sanctions imposed in October 2018
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October 8, 2018 ESMA CFD Update
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September 21, 2018 FCA Live & Local restarts in September
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September 20, 2018 Data Breach Over-Reporting
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September 19, 2018 Brexit letters from overseas regulators
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September 7, 2018 Track My Application (TMA)
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August 30, 2018 New P2P Lending Rules Proposed
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August 16, 2018 SPI Re-Registration Key Considerations
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August 14, 2018 Dear CEO Brexit letter
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August 10, 2018 The Global Financial Innovation Network
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August 6, 2018 Market Abuse Controls in Asset Management Firms
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July 26, 2018 Preparing Your Firm for Brexit
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July 20, 2018 Small Payment Institutions Re-Registration
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July 19, 2018 FCA Investment Platform Review
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July 11, 2018 Revised FCA Approach Document
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July 10, 2018 FCA Live and Local Restarts in September
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July 8, 2018 Fund Manager Value Statements
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July 4, 2018 FCA Sandbox Cohort 4
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June 21, 2018 LEI Transition Period Ends
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June 21, 2018 Investment Suitability Controls
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June 20, 2018 ESMA Benchmark Regulations
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June 11, 2018 FCA Change of Address
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June 4, 2018 Sanctions & Anti-Money Laundering Act 2018
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May 18, 2018 ICO Regulatory Plan
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May 16, 2018 FCA Adviser T&C Review
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May 8, 2018 GDPR Update
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April 27, 2018 FCA Asset Management Costs and Charges Template
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April 25, 2018 AIFMD Cross-Border Marketing Update
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April 20, 2018 FCA Business Plan 2018/19
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April 19, 2018 ESMA CFD and Binary Options Update
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April 16, 2018 Passporting Update
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March 12, 2018 European Commission Crowdfunding Regulation
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March 9, 2018 European Commission Brexit Notices to Stakeholders
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March 6, 2018 PSD2 Firms – Operational and Security Risk
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February 22, 2018 FCA Regulatory Return Letter
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February 13, 2018 FCA and ICO Joint GDPR Update
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February 13, 2018 FCA Algorithmic Trading Review
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January 31, 2018 The EU Benchmarks Regulations
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January 31, 2018 PRIIPs KID Performance Scenarios
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January 26, 2018 PRIIPs Policy Statement (Updated)
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January 26, 2018 FCA Impose Financial Penalty on Interactive Brokers UK
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January 24, 2018 FCA CFD Review January 2018
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January 4, 2018 FAMR Guidance Consultation 1
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January 3, 2018 IDD Postponement in 2018