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

This UK regulatory update includes – FCA sends notice to provide information related to incidents of non-financial misconduct, FCA publishes…

On March 5 2024, the FCA wrote a Dear CEO Letter to the Chief Executive Officers of Annex 1 firms,…

This UK regulatory update includes – HMT makes equivalence decision on EEA members states for entering the Overseas Funds Regime,…

This UK regulatory update includes – The FCA consults on regulatory approach for new Overseas Funds Regime, New FCA webpage…

This UK regulatory update includes – FCA publishes Dear CEO Letter on its expectations for wealth management and stockbroking firms,…

This UK regulatory update includes – FCA Market Watch 75, FCA speech “Updating and improving the UK regime for asset…

Mints v PJSC National Bank Trust Case

This UK regulatory update includes – FCA issues final rules on gateway for firms that approve financial promotions, The FCA…

For those firms falling within the scope of the FCA's Consumer Duty, the 12 months leading up to the 31…

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

Come along to our complimentary Compliance Update: Breakfast Briefing in partnership with CCL Academy and hear from expert compliance professionals…

This UK regulatory update includes – FCA Quarterly Consultation No. 40, EU and UK sign Memorandum of understanding on regulatory…

On July 6 2023, the Financial Conduct Authority (FCA) published findings from its Liquidity Management multi-firm review conducted on Authorised…

This UK regulatory update includes – FCA PS23/4 on Improving Equity Secondary Markets, FCA consults on proposed equity listing rule…

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

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

This UK regulatory update includes - HM Treasury publishes policy paper on the Investment Research Review, Dear CEO letter on…