Regulatory Update: UK Edition – April 2024

This UK regulatory update includes – FCA consults on extending the SDR Regime to Portfolio Management, FCA published finalised guidance…
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Regulatory Update: UK Edition – March 2024

This UK regulatory update includes – FCA publishes Business Plan 2024/25, FCA publishes new webpage on AIFM hosting, FCA publishes…
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Regulatory Update: UK Edition – February 2024

This UK regulatory update includes – FCA sends notice to provide information related to incidents of non-financial misconduct, FCA publishes…
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Insights from the FCA's Dear CEO Letter: Addressing Financial Crime Risks in Annex 1 Firms

On March 5 2024, the FCA wrote a Dear CEO Letter to the Chief Executive Officers of Annex 1 firms,…
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Regulatory Update: UK Edition – January 2024

This UK regulatory update includes – HMT makes equivalence decision on EEA members states for entering the Overseas Funds Regime,…
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Regulatory Update: UK Edition – December 2023

This UK regulatory update includes – The FCA consults on regulatory approach for new Overseas Funds Regime, New FCA webpage…
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Regulatory Update: UK Edition – November 2023

This UK regulatory update includes – FCA publishes Dear CEO Letter on its expectations for wealth management and stockbroking firms,…
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Regulatory Update: UK Edition – October 2023

This UK regulatory update includes – FCA Market Watch 75, FCA speech “Updating and improving the UK regime for asset…
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A legal precedent for sanctioned controllers?

Mints v PJSC National Bank Trust Case
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Regulatory Update: UK Edition – September 2023

This UK regulatory update includes – FCA issues final rules on gateway for firms that approve financial promotions, The FCA…
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The Consumer Duty is for life, not just for summer

For those firms falling within the scope of the FCA's Consumer Duty, the 12 months leading up to the 31…
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Regulatory Update: UK Edition – Summer 2023

This UK regulatory update includes – HM Treasury publishes outcome of Investment Research Review, FCA publishes results of Liquidity Management…
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Compliance Update: Breakfast Briefing

Come along to our complimentary Compliance Update: Breakfast Briefing in partnership with CCL Academy and hear from expert compliance professionals…
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Regulatory Update: UK Edition – June 2023

This UK regulatory update includes – FCA Quarterly Consultation No. 40, EU and UK sign Memorandum of understanding on regulatory…
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FCA publishes findings from its Liquidity Management multi-firm review

On July 6 2023, the Financial Conduct Authority (FCA) published findings from its Liquidity Management multi-firm review conducted on Authorised…
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Regulatory Update: UK Edition – May 2023

This UK regulatory update includes – FCA PS23/4 on Improving Equity Secondary Markets, FCA consults on proposed equity listing rule…
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Regulatory Update: UK Edition – April 2023

This UK regulatory update includes – HM Treasury Call for Evidence on the UK Investment Research Review, FCA publishes business…
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FCA publishes speech on the Consumer Duty

On 10 May 2023, the FCA published a speech by Sheldon Mills, Executive Director of Consumers and Competition, titled “Countdown…
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