Regulatory Update: UK Edition – October 2022

This UK regulatory update edition includes – FCA consultation on Sustainability Disclosure Requirements (SDR) and labels, PRA Dear CEO letter…
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The FCA’s new financial promotions regime for high-risk investments

Background This article summarises the significant features of the FCA’s forthcoming financial promotions regime for high-risk investments (HRIs).  The article…
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Regulatory Update: UK Edition – September 2022

This UK regulatory update edition includes – FCA’s speech on what firms can expect from the Consumer Duty, ESMA revises…
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Are you prepared for the FCA's new Consumer Duty?

The FCA’s Consumer Duty Implementation Plan deadline of 31 October 2022 is fast approaching.
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Regulatory Update: UK Edition – August 2022

This UK regulatory update edition includes - FCA Policy Statement on strengthening financial promotion rules for high-risk investments and firms…
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Enhancing the Appointed Representative Regime

On 3 August 2022, the Financial Conduct Authority (“FCA”) published its long-anticipated policy statement: PS22/11 - Improvements to the Appointed…
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Regulatory Update: UK Edition – July 2022

This edition includes - FCA publishes rules and guidance on new Consumer Duty, PRA Discussion Paper DP3/22 on critical third…
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Regulatory Update: UK Edition – June 2022

This edition includes - FCA Feedback Statement FS22/4 on regulatory regime for ESG rating providers, PRA publishes annual report, EBA…
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Regulatory Update: UK Edition – May 2022

This edition includes - FCA CEO Nikhil Rathi speech: “Learning from the last 30 years to face the next”, BoE…
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Regulatory Update: UK Edition – April 2022

This edition includes - FCA speech on critical issues in financial regulation, Bank of England considers central bank digital currency,…
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Regulatory Update: UK Edition – January 2022

This edition includes - FCA Publishes Webpage on MIFIDPRU Remuneration Code, PRA Published Letters Addressed to CEOs Setting Out its…
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Regulatory Update: UK Edition – December 2021

This edition includes - FCA proposes stronger requirements on oversight of Appointed Representatives, PRA statement on Pillar 2A requirements, EBA…
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Remote Online Testing Available for Candidates Seeking to Take Futures Industry Proficiency Exams

In Notice I-21-03, NFA announced that starting on January 19, 2021, NFA registration candidates that need to take the Series…
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FINRA Virtual Event Gifts, Business Entertainment, and Non-Cash Compensation FAQ

FINRA recently published an FAQ concerning food and beverages provided by associated persons during virtual business entertainment events. FINRA Rule…
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The impact of the IFPR on Exempt CAD Firms

The IFPR (Investment Firm Prudential Regime) is due to be implemented on 1st January 2022, and there are reasons to…
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The UK's Fifth Anti-Money Laundering Directive (5MLD)

With our experience in AML/CTF standards we will work with your Firm to adopt the right approach to 5MLD 5MLD…
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Regulatory Update: UK Edition - December 2020

This edition includes - FCA Reminds Firms to be Ready for End of Transition Period, PRA Evaluation of the Senior…
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Regulatory Update: UK Edition - January 2021

This edition includes - FCA Webpage on Regulatory Changes After End of Transition Period, SM&CR Forms Update, ESMA Consults on…
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