Venture capital investments may also be re-classified as speculative illiquid securities which would signal an end to retail investment.

In May, Mr Steward (FCA Executive Director of Enforcement and Market Oversight) spoke at the City & Financial Global - FCA Investigations...

In our webinar on 27 April 2021, Adempi will be exploring the key changes form the new Investment Firm Prudential Regime (IFPR), due to

DP21/1 sets out proposals that seek to make it harder for retail investors to invest in 'high risk investments'.

Three aspects of the LCF case struck a chord with Treasury and may be a useful reminder to regulated firms

The FCA has released a statement to highlight that 2,800 failed to submit Directory Persons' information by the deadline of 31 March and tha

The Government is setting up a support scheme that will compensate up to 80% of each LCF bondholder's investment

The FCA issued ‘Finalised Guidance 20/1 - Our framework: Assessing Adequate Financial Resources’ in June 2020 in a bid to ensure that...

In a recent speech at the AML & ABC Forum 2021 Mark Steward (the FCA’s Executive Director of Enforcement and Market Oversight) spoke to...

The Guidance is designed to drive change within firms and help them understand how to achieve the goal of treating vulnerable customers in t

UK-based managers of funds and portfolio services may need to include ESG disclosures in their product literature from 10 March 2021 if...

Assessing business relief opportunities can be a complex business. Individuals often approach financial advisers to guide them on the...