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Feb 23, 20221 min read
Webinar - Toxic Behaviour: the FCA view
Non-financial misconduct is arguably a harder area to navigate than other areas of misconduct but increasingly it attracts scrutiny from...


Feb 21, 20221 min read
Financial promotions and unlisted investments webinar
Join us for a webinar on March 1st when we'll be reviewing the proposed changes to financial promotions for unlisted investment,...


Feb 3, 20222 min read
Guidance provided by FCA appointing heads of compliance and MLROs
The FCA has recently issued guidance for authorised and registered firms regarding the roles of heads of compliance and money laundering...


Jan 13, 20221 min read
FCA plans for a new Consumer Duty
On 7 December 2021, the FCA published its second Consultation Paper (CP21/36) on introducing a new Consumer Duty. This follows its...


Jan 12, 20221 min read
FCA introduces new authorisation application fees structure
Earlier this month the Financial Conduct Authority (FCA) announced in its Policy Statement 22/1 the simplification of its current...


Dec 23, 20211 min read
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 10, 20212 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....


Nov 16, 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 12, 20211 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 10, 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 7, 20212 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 2, 20211 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...
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