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MiFID II

What happened? The second and final policy statement relating to MiFID II was issued on 3rd July 2017 and is available

CFD Update

The FCA scrutinises contracts for difference and spread betting - revisited

Payment Services Regulator

The PSR has recently published its Annual Plan and Budget for the year 2017/18.

FCA live and Local

This update is relevant to all retail investment and general insurance firms

FCA Sandbox Update

This update is relevant to all fintech firms.

Payment Services Regulator

This update is relevant to all retail advice firms FAMR...

MiFID applications

This update is relevant to all firms involved with commodity derivatives.

Cybersecurity

Friday 12th May 2017 saw the start of a global cyber attack using malware

MiFID applications

This update is relevant to all firms within the scope of MiFID II Background MiFID...

Payment Services Regulator Plan

Each year the Payment Services Regulator publishes its...

Insurance Distribution Directive

The new Insurance Distribution Directive (IDD) applies to all entities engaged in insurance distribution to...

MiFID II Taping

An important modification to the MiFID II proposals has been announced and this will affect “Article 3”...

MiFID II Update

In the light of widespread losses by customers and allegations of poor transparency and understanding of the...

From 25th May 2018, a new EU data protection framework will apply, taking the form of a regulation...

European Union venture capital

This update is relevant to any firms considering registration as EuVECA fund managers By...

regulated advice changes

From 3rd of January 2018, for FCA regulated firms, the UK definition of advising on investments is to...

Money Laundering Directive

The Fourth Money Laundering Directive is a

FCA regulation agenda 2017

Keeping up to date with FCA regulation is a constant challenge for firms. Ensuring you are keeping up to date...

This post will outline recent developments regarding the FCA’s ‘potential consolidator’ and advisory...

FCA skilled person reviews checklist

This post will discuss recent developments regarding the FCA’s pensions transfer and skilled person reviews...

PSD2 regulation impact on the European payments industry.

The rapid pace of innovation of new financial solutions and products in the last decade has resulted in a need...

This post is the second in our ‘FinTech future’ series where we will be discussing various issues relating...

Could the impact of Brexit uncertainty within financial services firms be soothed by a FinTech future? Financial...

As we enter the new year, you may be wondering ‘How will I stick to my resolutions this year?’, and of...

This post is the fifth in our MiFID II blog series, where we will be providing updates and information regarding...

This post is the fourth in our MiFID II series, where we will be providing MiFID II updates and discussing the...

This post will discuss recent developments regarding FCA regulation in relation to firms operating in the...

This post will discuss recent developments regarding FCA regulation in relation to firms operating in the...

Are you wondering how MiFID II will impact

This post will discuss a recent study of the global online and crowdfunding market by Juniper Research entitled...

A recent report from KPMG UK has highlighted that there are significant improvements that could be necessary in...

Are you ready for MiFID II? This blog is the second in our MiFID II series, where we will be examining the impact of...

This post will outline the key points from Chancellor Philip Hammond’s Autumn Statement issued today. This...

Five months on from the EU referendum, uncertainty still looms. The effect of Brexit on the financial services...

Rob Gruppetta, Head of the Financial Crime Department at the FCA, delivered a speech on 10th November 2016...

This post will discuss what can be learnt from the FCA’s Skilled Persons Review into a large bank’s treatment of...

Are you prepared for MiFID II? This introductory blog is the first in our MiFID II series, where each week we will be...

The peer-to-peer (P2P) lending industry has grown rapidly over recent years, providing investors with  a better rate of...

Andrew Bailey, Chief Executive of the FCA delivered a speech on 26th October 2016 regarding the rationale...

This post will discuss the recently released mission statement in which the regulator clarified its objectives and...

This post will discuss a recent enforcement ruling by the FCA on a UK bank and the bank’s Money Laundering Reporting Officer (MLRO)...

‘Fail to prepare, prepare to fail‘   If you have received a Section 166 notice from the FCA,...

FCA Regulatory Compliance: A spotlight on Due Diligence Christopher Woolard, Director of...

FCA enforcement action is not a concern only for FCA regulated firms; the FCA...

FCA regulation is an ever-changing landscape, and the ability to be responsive is of great importance. With EU membership-related uncertainty looming in the wake of the ‘Brexit’ referendum, the...

Have you read our previous blog Section 19:...

The FCA very much has the approach of act first and ask questions later. They...

Section 21 FSMA support

If you’re wondering what Section 21 of FSMA is, please see our previous blog post:

When you receive any form of notice from the FCA for breaching a section of FSMA, it can be very easy to go into panic mode and call the first law firm you can find that deal with FCA enforcement and...

Section 21 is part of the Financial Services and Markets Act 2000, which we discussed in our previous blog. Section 21 states you are...

So the FCA has served you a section 166 notice! Take a deep breath, don’t panic. On average the FCA serve up about 50 section 166 notices per year so you’re certainly not the only one....

FCA Section 19

It’s a scary thought, but Section 19 could be affecting firms who are completely unaware of its...

FCA enforcement with support

'The all seeing all knowing FCA runs a very tight ship'.