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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…
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
Regulatory Update: UK Edition – January 2023
Have a question about any of the updates below? Get in touch with our UK/EU Compliance Solutions team today to…
February 9, 2023
FCA publishes its multi-firm review of Consumer Duty implementation plans
On 25 January 2023, the Financial Conduct Authority (FCA) published its multi-firm review of Consumer Duty implementation plans.
January 25, 2023
Regulatory Update: UK Edition – December 2022
This UK regulatory update includes - Chancellor of the Exchequer unveils “Edinburgh Reforms”, PRA speech on Implementing Basel 3.1 in…
January 24, 2023
Regulatory Update: UK Edition – November 2022
This UK regulatory update edition includes – FCA's key priorities for the financial advice industry, consultation on the UK implementation…
December 13, 2022
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…
November 23, 2022
The FCA’s new financial promotions regime for high-risk investments
Background on the FCA’s Financial Promotions Regime for HRIs This article summarises the significant features of the FCA’s forthcoming financial…
November 8, 2022