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The Financial Conduct Authority (“FCA”) has today issued the findings from its review into firms’ approaches to completing the first…

This UK regulatory update includes – FCA consults on investment research payment optionality for fund managers, Home Office issues guidance…

This UK regulatory update includes – FCA publishes Market Watch 80, Interim Regulatory Initiatives Grid published, FCA publishes the results…

In her inaugural Mansion House speech, UK Chancellor Rachel Reeves outlined a comprehensive set of plans to grow the UK…

This UK regulatory update includes – FCA published findings on oversight of Appointed Representatives, FCA update on good and poor…

This UK regulatory update includes – FCA update on OFR developments and publication of final rules, FCA sets out final…

This UK regulatory update includes – FCA publishes new webpage on overseas appointed representatives, Bank of England publishes scenarios for…

This UK regulatory update includes – FCA and HMT publishes Roadmap for implementing the Overseas Funds Regime, FSRC launches inquiry…

This UK regulatory update includes – FCA consults on extending the SDR Regime to Portfolio Management, FCA published finalised guidance…

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…