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