Directors convicted in Collateral fraud case
Following a 5 week trial the two founders (Peter and Andrew Currie) of Collateral UK have been convicted of both fraud and money...
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Steps to improve whistleblower confidence announced by the FCA
This week the FCA set out the actions it will take in order to improve the confidence of whistleblowers. This follows a qualitative...
New "failure to prevent fraud" offence announced for large UK organisations
The UK government has recently published further details on the new ‘failure to prevent fraud’ offence in which organisations will now be...
Innovation, artificial intelligence and the future of financial regulation
Last week the FCA published the speech by Jessica Rusu, their Chief Data, Information and Intelligence Officer, delivered to delegates...
FCA issues metrics update for authorisation timescales
On 21 March 2023 the FCA published an update on its operating service metrics for dealing with various applications, including...
FCA to collect Treasury’s economic crime levy (Anti-Money Laundering) from July
The Government has introduced an economic crime levy (ECL) to fund its fight against the rise in economic crime and money laundering. The...
Fast-growing firms review published by FCA
Earlier this month the FCA published a review of its findings and expectations of FCA solo-regulated fast-growing firms. The review was...
FCA highlights areas of focus for firms implementing the Consumer Duty
Following on from the new Consumer Duty rules and guidance published by the FCA in July 2022 there is now less than six months to go...
FCA consultation on Section 21 Gateway ends 7th February 2023.
On 6th December 2022 the FCA published consultation (CP22/27) in which it set out its proposal to operate a new gateway for firms who...
New Financial Resilience Survey for FCA solo-regulated firms.
In October 2022 the FCA published a consultation paper (CP22/19) with proposals to replace the FCA Financial Resilience Survey with a new...
FCA publishes further discussion paper for the UK PRIIP regime
In response to the growing trend towards online investments and the digital distribution of disclosure the FCA recently published a...
Changes to FCA Appointed Representative Regime take effect
The FCA recently consulted on changes to protect consumers and address harms across all the sectors where principals and ARs operate....
Sustainable Disclosure Requirements: the FCA aims to provide greater clarity to tackle greenwashing
Last month the FCA published its consultation (CP22/20) on the Sustainability Disclosure Requirements and investment labels for the UK...
New financial resilience return on the horizon
In early October the FCA announced a consultation paper (CP22/19) to replace the current Financial Resilience Survey (formerly “Covid-19...
Early insight into FCA's approach to Sustainable Finance
It’s Good Money Week 2022 and he FCA has shared some insights into the disclosure and labelling regimes for sustainable investments
Broadening access to the Long Term Asset Fund (LTAF),
Last month the Financial Conduct Authority (FCA) launched a consultation paper (CP22/14) on broadening access to the Long Term Asset Fund...
Consumer Duty: what are the deadlines?
The 4 key Consumer Duty dates and key steps your firm can be taking at each point.
Dear CEO Letter: Alternatives Supervision Strategy
Earlier this month the FCA updated its supervisory strategy and priorities for firms within its "Alternatives" portfolio in a Dear CEO...
Strengthening the oversight of critical third parties
On 21 July 2022 the Bank of England (BOE), Financial Conduct Authority (FCA) and the Prudential Regulatory Authority (PRA) published a...
Financial Services and Markets Bill is set to change the financial sector
On July 20th the UK Government published the Financial Services and Markets Bill (FSMB). The Bill is a major piece of legislation, and...
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