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July 26, 2021 FCA consults on post-Brexit divergence for PRIIPS regulation
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July 23, 2021 Guiding principles on design, delivery & disclosure of ESG & sustainable investment funds
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July 19, 2021 FCA Business Plan 2021/22
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July 15, 2021 IFPR Exempt CAD MiFID firm FCA prudential category
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July 14, 2021 Fund managers falling short on assessing the value of their funds
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July 13, 2021 Consumer credit information sheets updated by FCA
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July 12, 2021 Have you handled the appropriate due diligence for onboarding an agent or third-party provider?
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July 6, 2021 Google Policy Update Financial Services Advertising in the UK
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July 5, 2021 The Markets in Financial Instruments (Capital Markets) (Amendment) Regulations
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July 2, 2021 Regulatory Framework for Approval of Financial Promotions Consultation Response
June 30, 2021 FCA published new proposals on climate-related disclosure rules
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June 29, 2021 FCA finds weaknesses in host Authorised Fund Management firms governance & operations
June 28, 2021 FCA announce credit broking survey
June 27, 2021 FCA says 60 firms in line for DB past business reviews
June 26, 2021 Dear CEO letter on AML control failures
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June 25, 2021 Information Commissioner’s Office (ICO) gets powers to conduct financial investigations
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June 22, 2021 New power to vary or cancel permission
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June 9, 2021 FCA extends Temporary Registrations Regime deadline for crypto businesses
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June 3, 2021 FCA stops EverFX offering CFDs to UK customers
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June 2, 2021 PRIIPs regulation has now been onshored
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June 1, 2021 Regulation of investment consultants
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May 27, 2021 The FCA has issued a Dear Board of Directors letter to P2P platforms
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May 27, 2021 FCA will no longer be accepting Change of Legal Status applications
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May 26, 2021 Deadline extension for Strong Customer Authentication
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May 25, 2021 All reporting firms moved to FCAs new data collection platform RegData
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May 24, 2021 Dear CEO Letter ensure your customers understand how their money is protected
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May 21, 2021 FCA proposes stronger protection for consumers in financial markets
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May 20, 2021 Funeral plan regulation update
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May 19, 2021 Greensill Capital Founder apologises for collapse of firm as watchdog launches probe
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May 14, 2021 FCA to issue Credit Broking Permission Survey
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May 11, 2021 FCA launches consultation on fund to support investment in long-term assets
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May 10, 2021 FCA fines Sapien Capital for financial crime control failings
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May 6, 2021 Regulation of non-transferable debt securities
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May 5, 2021 FCA sets out proposals to strengthen its financial promotion rules for high-risk investments
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May 4, 2021 Changes to UK MiFID’s conduct and organisational requirements
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April 30, 2021 Social Entrepreneurship & Registered Venture Capital Funds
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April 28, 2021 Firm with FCA authorisation will have to “use it or lose it”
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April 27, 2021 FCA commences criminal proceedings for fraud and unauthorised business
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April 27, 2021 UK adds Pakistan to 21 high-risk states list
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April 23, 2021 FCA bans and fines financial adviser for lacking honesty and integrity
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April 22, 2021 Passporting into Gibraltar – the state of play
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April 22, 2021 FCA consults on guidance for the funeral plans sector
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April 21, 2021 FCA publicly censures Alsford Page & Gems Limited (APG)
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April 20, 2021 FCA stops FXVC offering CFDs to UK customers
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April 19, 2021 ESG investing – what are the regulatory options?
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April 16, 2021 Finalised guidance for advising on pension transfers
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April 15, 2021 Increase in whistleblowing reports to the FCA
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April 14, 2021 Financial promotions quarterly data
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April 13, 2021 New FCA online fees portal
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April 12, 2021 Final rules on building operational resilience published
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April 9, 2021 Extension of Annual Financial Crime Reporting Obligation
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April 7, 2021 Digital payments company Wirex anti-money laundering controls
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April 6, 2021 What are the key market abuse risks for firms using remote working?
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April 6, 2021 Why is culture and remuneration a key issue for regulated firms?
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March 31, 2021 24HR Trading Academy unlawfully advised on investments
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March 31, 2021 FCA publishes Decision Notice against Jon Frensham
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March 30, 2021 FCA announces new whistleblowing campaign
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March 29, 2021 Trade-based money laundering risk indicators
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March 26, 2021 FCA warns of risks facing new generation of DIY investors
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March 25, 2021 Flexibility on RTS 27 reports and 10% depreciation notifications
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March 22, 2021 NatWest money laundering enforcement
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March 19, 2021 FCA imposed restrictions on Dolfin Financial (UK) Ltd
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March 18, 2021 The implications of increasing the contactless payments limit to £100
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March 17, 2021 Key regulatory changes expected to be implemented in 2021
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March 16, 2021 Premier FX case study – part 2
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March 12, 2021 The 2021 Budget
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March 5, 2021 Premier FX case study – part 1
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March 3, 2021 The Kalifa Review of UK FinTech
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March 2, 2021 FCA product governance review
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February 25, 2021 FCA publicly censured money remittance firm Premier FX Limited
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February 24, 2021 What are the key risks for firms dealing with vulnerable consumers?
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February 19, 2021 What are the regulatory risks for firms in implementing technology?
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February 18, 2021 How would the UK Financial Conduct Authority (FCA) assess your international firm?
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February 16, 2021 What are the key conduct risks for investment firms dealing with consumers?
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February 12, 2021 Consumer credit regulation update – major changes may be on the way
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February 9, 2021 What next for fintech regulation in 2021?
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February 4, 2021 Changes to the SCA-RTS
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February 1, 2021 Regulatory due diligence plays a vital role in acquiring an FCA-regulated business
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January 25, 2021 Half of reporting firms moved to FCA’s new data collection platform
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January 21, 2021 FCA reminds firms to regularly review regulatory permissions
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January 20, 2021 HMT consultation on cryptoassets and stablecoins
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January 18, 2021 Questionable practices by firms around reverse solicitation
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January 15, 2021 FCA Market Watch 66
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January 12, 2021 Significant number’ of firms could fail this year
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January 6, 2021 The EEA states’ post-Brexit temporary permissions regimes
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January 4, 2021 FCA fines Charles Schwab UK £8.96 million
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December 18, 2020 FCA responds to independent reviews
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December 17, 2020 5MLD temporary crypto regime
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December 16, 2020 Financial Advisers Capital Adequacy Information Request
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December 15, 2020 FCA consultation on new prudential regime
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December 14, 2020 The FCA confirms speculative mini-bond mass-marketing ban
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December 3, 2020 The RegTech Forum – a series of online events hosted by the FCA
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November 26, 2020 FCA announces benefits of new data collection platform RegData
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November 24, 2020 FCA to charge for SM&CR changes and hike new firm fees
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November 18, 2020 Review of adviser capital adequacy
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November 17, 2020 Nausicaa Delfas speech on Brexit implications for firms
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November 10, 2020 FCA Authorised Corporate Directors (ACDs) conflicts probe
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November 6, 2020 FCA bans three individuals from working in the financial services industry
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November 5, 2020 Changes to open banking identification requirements
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November 3, 2020 The FCA will publish and maintain a directory of certified and assessed persons
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October 21, 2020 The Money Laundering Regulations are now applicable to cryptoasset firms
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October 14, 2020 The FinCEN files have branded the UK financial industry to be a high-risk jurisdiction
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October 13, 2020 How firms should focus their anti-market abuse work during the pandemic
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October 7, 2020 New rules banning the sale of crypto derivatives
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October 6, 2020 New FCA Brexit transition period rules
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September 24, 2020 New FCA data collection platform RegData replaces GABRIEL
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September 22, 2020 SM&CR annual reporting
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September 17, 2020 FCA announced proposals to ban the marketing of speculative illiquid securities, including mini-bonds
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September 14, 2020 New CBDF rules
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September 8, 2020 FCA DB transfer feedback
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September 2, 2020 Assessment of Value reports
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August 25, 2020 Extension of the annual financial crime reporting obligation
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August 13, 2020 Dear CEO Letter: increased client money balances
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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