FCA sets faster authorisation targets
The FCA plans to speed up the authorisation process for firms and individuals to help support UK growth whilst maintaining robust checks.
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FCA set to launch private trading platform PISCES
The Financial Conduct Authority (FCA) has launched a new platform that enables the trading of private company shares. PISCES (Private...
Focus Intensifies on Buy-Now, Pay-Later
New rules to regulate buy-now-pay-later products announced by the Treasury
Introduction of a new Consumer Credit regulatory return
The new CCR009 return for Consumer Credit firms, asks tailored questions, reflecting firms' specific business models.
Simplifying regulatory capital for MIFIDPRU firms
With the proposed change to the definition of regulatory capital for MIFIDPRU, the requirements should be easier to understand and apply
How to get the best from your Compliance Monitoring Plan
Thoughts from our compliance monitoring team on challenges and best practice when it comes to undertaking compliance monitoring in FCA regulated firms.
A boost for firms seeking authorisation or launching innovative products
The FCA has announced a range of initiatives to help firms seeking authorisation or wanting to launch innovative products and services.
Improved regime for AIFMs ahead?
The proposals for asset managers are a meaningful change to AIFMD but they may not be positive for all AIFMs. We recommend assessing the impact on your firm and responding to the Call For Input if you see unintended consequences.
FCA publishes its 5 year strategy
We explore some key changes that lie ahead following the publication of the FCA's 2025-2030 strategy.
Polluter pays: What the latest thinking means for firms
The FCA's new guidance states that ‘polluters’ need to meet, not avoid, the redress liabilities owed to consumers when things go wrong.
6 Key Changes To The FCA's Financial Crime Guide: Part 2
The updates made to the Financial Crime Guide reflect the latest thinking from the FCA. Here are 6 key changes that may impact your firm.
6 Key Changes To The FCA's Financial Crime Guide: Part 1
The updates made to the Financial Crime Guide reflect the latest thinking from the FCA. Here are 6 key changes that may impact your firm.
FCA authorisations are moving more quickly
The latest statistics, and our recent experiences, demonstrate that the FCA authorisation process is faster than it has been in years.
First step in removal of KIDs/ PRIIPs
On 30 September 2024, the Financial Conduct Authority (FCA) published an updated version of its statement on forbearance in relation to...
FCA consults on proposed changes to the safeguarding regime for payments and e-money firms
The FCA has recently published a consultation paper (CP24/20) regarding proposed changes to the safeguarding rules for payments firms and e-money firms.
The Big Picture On Fraud Prevention
The Financial Conduct Authority (FCA) plays a key role in preventing fraud. In a recent speech they revealed their thoughts on that role.
FCA offers firms 4 months' extension to implement sustainability naming rules
T he Financial Conduct Authority has granted firms a temporary extension to implement the ‘naming and marketing’ sustainability rules as...
Still more to do monitoring Appointed Representatives
FCA publishes findings of recent review regarding enhanced Appointed Representative rules
Listings rules update
FCA makes further changes to the new listings rules
Introducing criminal background checks for controllers
FCA proposes standard DBS checks to be run on all owners and controllers of financial institutions
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