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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,…
February 22, 2024
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…
January 22, 2024
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,…
December 18, 2023
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…
November 15, 2023
October 25, 2023
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…
October 24, 2023
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…
September 29, 2023
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…
September 25, 2023
Compliance Update: Breakfast Briefing
Come along to our complimentary Compliance Update: Breakfast Briefing in partnership with CCL Academy and hear from expert compliance professionals…
September 7, 2023
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…
July 25, 2023
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…
July 7, 2023
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…
June 14, 2023
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…
May 12, 2023
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…
May 11, 2023
Regulatory Update: UK Edition – March 2023
This UK regulatory update includes - HM Treasury publishes policy paper on the Investment Research Review, Dear CEO letter on…
April 17, 2023
FCA publishes Multi-Firm Review on FCA solo-regulated Fast-Growing Firms
On 10 March 2023, the Financial Conduct Authority (FCA) published a Multi-Firm Review summarising its findings and expectations of FCA…
March 13, 2023
Regulatory Update: UK Edition – February 2023
This UK regulatory update includes - UK sets out plans to regulate cryptoassets, FCA DP23/3 on Updating and improving the…
March 6, 2023
FCA Speech on the Consumer Duty – Key Takeaways
On 22 February 2022, the Financial Conduct Authority (FCA) published a speech by Sheldon Mills, Executive Director, Consumers and Competition,…
February 28, 2023