Guest User 01/03/2024 Guest User 01/03/2024

Dear CEO letter provides insight into regulatory agenda for fund managers

Guest User 23/02/2024 Guest User 23/02/2024

Crowdfunding and P2P lending firms: time for a regulatory stock-take

Guest User 21/02/2024 Guest User 21/02/2024

FCA publish examples of good and poor practice ahead of Annual Consumer Duty Report deadline

Guest User 14/02/2024 Guest User 14/02/2024

FCA fines and bans former Director of London Capital & Finance plc over financial promotion failings

Guest User 25/01/2024 Guest User 25/01/2024

Changes to the UK’s definition of High Risk Third Countries

Guest User 22/12/2023 Guest User 22/12/2023

Imminent FCA review of private markets participants’ valuation practices

Guest User 14/12/2023 Guest User 14/12/2023

What does the regulatory pipeline look like for 2024?

Guest User 11/12/2023 Guest User 11/12/2023

FCA publish Sustainability Disclosure Requirements for fund managers and distributors

Guest User 06/12/2023 Guest User 06/12/2023

Changes to prudential rules for personal investment firms (retail advisors and arrangers)

Guest User 30/11/2023 Guest User 30/11/2023

Working with unregulated introducers? Don’t fall foul of the FCA.

Guest User 27/11/2023 Guest User 27/11/2023

FCA update on reforms to the asset management regime

Guest User 23/11/2023 Guest User 23/11/2023

UK Government changes to financial promotion exemptions

Guest User 15/11/2023 Guest User 15/11/2023

“Action Required” for wealth managers and stockbroking firms

Guest User 12/10/2023 Guest User 12/10/2023

Senior Manager Applications: easier to apply but harder to get approved?

Guest User 12/10/2023 Guest User 12/10/2023

UK data bridge to the US opens

Guest User 11/10/2023 Guest User 11/10/2023

FCA publishes Portfolio Letters: have you read yours?

Guest User 29/09/2023 Guest User 29/09/2023

FCA publish essential reading for firms promoting high-risk investments

Guest User 28/09/2023 Guest User 28/09/2023

Want to approve promotions? You’ll need to demonstrate your staff are competent.

Our insights

Dear CEO letter provides insight into regulatory agenda for fund managers

Crowdfunding and P2P lending firms: time for a regulatory stock-take

FCA publish examples of good and poor practice ahead of Annual Consumer Duty Report deadline

FCA fines and bans former Director of London Capital & Finance plc over financial promotion failings

Changes to the UK’s definition of High Risk Third Countries

Imminent FCA review of private markets participants’ valuation practices

What does the regulatory pipeline look like for 2024?

FCA publish Sustainability Disclosure Requirements for fund managers and distributors

Changes to prudential rules for personal investment firms (retail advisors and arrangers)

Working with unregulated introducers? Don’t fall foul of the FCA.

FCA update on reforms to the asset management regime

UK Government changes to financial promotion exemptions

“Action Required” for wealth managers and stockbroking firms

Senior Manager Applications: easier to apply but harder to get approved?

UK data bridge to the US opens

FCA publishes Portfolio Letters: have you read yours?

FCA publish essential reading for firms promoting high-risk investments

Want to approve promotions? You’ll need to demonstrate your staff are competent.

REUL Britannia: The FCA’s Approach to Replacing EU Law

Consumer Duty and its risks: information and support, or advice?