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Investment firm fined by the FCA for conflicts of interest failings
On 22nd December 2021 the FCA announced it will fine hedge fund BlueCrest Capital Management (UK) LLP for conflict of interest failings....
Dec 23, 20211 min read


Is a tougher Appointed Representative Regime on its way?
Earlier this month the FCA published its Consultation Paper (CP21/34) on improving the Appointed Representative (AR) regime....
Dec 10, 20212 min read


Scrutiny of the Appointed Representative Regime increases
This month the Appointed Representative regime is under scrutiny with both the FCA and HMT exploring what changes might be needed. The...
Nov 16, 20212 min read


Shortlisted for the AltFi Awards 2021
We're delighted to be nominated as Advisory Firm Of The Year 2021 at the forthcoming AltFi Awards 2021. Now in their 8th year, these...
Nov 12, 20211 min read


Winners announced of the 2021 Growth Investor Awards
The results of the 2021 Growth Investor Awards were announced at a black-tie ceremony at the Hilton London on Park Lane Hotel on 9th...
Nov 10, 20211 min read


FCA publishes an ESG discussion paper to help investors with their decision making
To coincide with COP26 Finance Day the FCA recently published a Discussion Paper on Sustainability Disclosure Requirements and Investment...
Nov 7, 20212 min read


Latest Regulatory Initiatives Grid published November 2021
On November 1st the FCA set out its latest planned Regulatory Initiatives Grid for the next 24 month period, as set out by the Financial...
Nov 2, 20211 min read


Adempi sponsors the 2021 Growth Investor Awards
Adempi returns as sponsor of the award for Most Impactful Investment at the Growth Investor Awards 2021
Oct 21, 20211 min read


Joint Discussion Paper on diversity and inclusion published
In July the FCA and PRA (Prudential Regulation Authority) published a joint Discussion Paper (DP) aimed at further increasing rapid and...
Sep 24, 20211 min read


FCA sets out plan to tackle consumer investment harm
The FCA has recently published a new consumer investment strategy aimed at giving consumers more confidence to invest, whilst supported...
Sep 17, 20211 min read


FCA to move faster to remove unused financial services firm permissions
This January the FCA reminded financial services firms of their obligation to review regulatory permissions and ensure they are up to...
Sep 14, 20211 min read


FCA reminds firms of potential financial crime risks linked to Afghanistan
With increasing volatility in Afghanistan as UK and US troops withdraw, the FCA have issued a statement reminding firms that they should...
Sep 6, 20211 min read
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