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...

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...

The much-awaited consultation paper on the new UK Investment Firm Prudential Regime (IFPR), was released in December. Full details can be fo

It will be no great surprise that the FCA has confirmed that the existing temporary ban on speculative illiquid securities will be made...

Investment firms will be delighted to hear that the timeframe for the prudential rule change has been delayed with HM Treasury now...

The FCA continues to focus on the consumer credit market in light of the ongoing pandemic and the effect it is having on retail borrowers....

Tuesday 9 November @ 10am Via Zoom Register here: https://us02web.zoom.us/meeting/register/tZ0oc-6urz0vEtcUb4OgFAyngItbgRQFzDFl If retail...

In June and August 2020, the FCA surveyed 22,500 firms in the first phase of it's Covid-19 Impact Survey. Those firms have been or will...