How to get the best from your Compliance Monitoring Plan
Thoughts from our compliance monitoring team on challenges and best practice when it comes to undertaking compliance monitoring in FCA regulated firms.
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Improved regime for AIFMs ahead?
The proposals for asset managers are a meaningful change to AIFMD but they may not be positive for all AIFMs. We recommend assessing the impact on your firm and responding to the Call For Input if you see unintended consequences.
Private Market Valuations In The Spotlight
The FCA has published the results of its Private Markets Valuation Review and there is a lot for affected firms to action.
Polluter pays: What the latest thinking means for firms
The FCA's new guidance states that ‘polluters’ need to meet, not avoid, the redress liabilities owed to consumers when things go wrong.
6 Key Changes To The FCA's Financial Crime Guide: Part 2
The updates made to the Financial Crime Guide reflect the latest thinking from the FCA. Here are 6 key changes that may impact your firm.
6 Key Changes To The FCA's Financial Crime Guide: Part 1
The updates made to the Financial Crime Guide reflect the latest thinking from the FCA. Here are 6 key changes that may impact your firm.
FCA announces continued heat on tackling financial crime
The FCA wants to target financial crime activities early to prevent the equivalent of the Great Fire of London. Here are our takeaways.
Senior Manager presence in the UK
The FCA has highlighted how important that senior managers have sufficient UK presence to deliver on their reponsibilities.
A letter to the Chancellor regarding High Net Worth Individual Investor rules
An open letter has been penned to the Chancellor criticising the changes to High Net Worth Individual Investor rules and criteria for...
The rise of the fin-fluencer – financial educators or risk promoters
It’s hardly surprising in the current digital age of social media apps such as Tik-Tok, YouTube Instagram and Twitter that the rise of...
Consumer Duty: what are the deadlines?
The 4 key Consumer Duty dates and key steps your firm can be taking at each point.
What ESG information can advisers expect of EIS, VCT and BR Managers?
With the increasing public awareness of environmental issues and climate change, investors now want tax-advantaged investments with an...
Good governance in the hybrid workplace
Adempi's guide on Governance for the Hybrid Workplace is the second of our three free guides for FCA-regulated firms returning to the office
Planning a partial return to the office?
Adempi’s guides raise the lid on what FCA regulated firms need to consider in managing a more dispersed workforce than ever before.
New treatment for venture capital investments?
Venture capital investments may also be re-classified as speculative illiquid securities which would signal an end to retail investment.
3 Lessons from the Treasury’s LCF statement
Three aspects of the LCF case struck a chord with Treasury and may be a useful reminder to regulated firms
Could your Wind Down Plan trigger a liquidity requirement?
The FCA issued ‘Finalised Guidance 20/1 - Our framework: Assessing Adequate Financial Resources’ in June 2020 in a bid to ensure that...
Advising on business relief opportunities
Assessing business relief opportunities can be a complex business. Individuals often approach financial advisers to guide them on the...
Confirmation of the ban on the marketing of speculative illiquid securities
It will be no great surprise that the FCA has confirmed that the existing temporary ban on speculative illiquid securities will be made...
Will the gap close? Safeguarding vs holding client money
more focus is being placed on an area that has needed looking at for some time: the difference between the CASS and the safeguarding rules
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