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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
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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
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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
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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