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The rise in scams and the threat to a legitimate financial services industry
In May, Mr Steward (FCA Executive Director of Enforcement and Market Oversight) spoke at the City & Financial Global - FCA Investigations...
Jun 2, 20211 min read


Key changes arising from IFPR | webinar
In our webinar on 27 April 2021, Adempi will be exploring the key changes form the new Investment Firm Prudential Regime (IFPR), due to
Apr 30, 20211 min read


Addressing the harm from 'high risk investments'
DP21/1 sets out proposals that seek to make it harder for retail investors to invest in 'high risk investments'.
Apr 29, 20212 min read


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
Apr 26, 20212 min read


Have you submitted your Directory Persons?
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
Apr 21, 20211 min read


Support for LCF bondholders to be extended beyond FSCS
The Government is setting up a support scheme that will compensate up to 80% of each LCF bondholder's investment
Apr 19, 20212 min read


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...
Apr 1, 20212 min read


The FCA wants “purposeful” AML systems and controls
In a recent speech at the AML & ABC Forum 2021 Mark Steward (the FCA’s Executive Director of Enforcement and Market Oversight) spoke to...
Apr 1, 20212 min read


Fair Treatment of Vulnerable Customers: Finalised Guidance Released
The Guidance is designed to drive change within firms and help them understand how to achieve the goal of treating vulnerable customers in t
Feb 24, 20211 min read


SFDR compliance for UK managers
UK-based managers of funds and portfolio services may need to include ESG disclosures in their product literature from 10 March 2021 if...
Feb 22, 20212 min read


Advising on business relief opportunities
Assessing business relief opportunities can be a complex business. Individuals often approach financial advisers to guide them on the...
Jan 28, 20211 min read


'Use it or lose it': the permissions review
n January this year the FCA warned firms of their “use it or lose it” policy. This reminded firms that the FCA could cancel the...
Jan 22, 20212 min read
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