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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
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…
October 26, 2022
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.
October 14, 2022
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…
September 7, 2022
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…
August 17, 2022
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…
August 17, 2022
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…
July 14, 2022
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…
June 22, 2022
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,…
June 2, 2022
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…
February 11, 2022
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…
January 13, 2022
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…
November 30, 2021
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…
November 26, 2021