KIDs are finally changing
The long-awaited update to the Packaged Retail and Insurance-based Investment Product (“PRIIPs) rules has arrived. Earlier this month the...
Events, opinions and information
The long-awaited update to the Packaged Retail and Insurance-based Investment Product (“PRIIPs) rules has arrived. Earlier this month the...
The FCA has taken decisive action to prevent harm in the consumer investment market and earlier this month revealed in its Consumer...
The FCA has warned firms using company or insolvency law to manage their liabilities that they could face regulatory action if their...
Four major "Buy-Now-Pay-Later" firms have agreed change ‘potentially unfair and unclear terms and conditions’ after an intervention from...
Non-financial misconduct is arguably a harder area to navigate than other areas of misconduct but increasingly it attracts scrutiny from...
The FCA has recently issued guidance for authorised and registered firms regarding the roles of heads of compliance and money laundering...
On 7 December 2021, the FCA published its second Consultation Paper (CP21/36) on introducing a new Consumer Duty. This follows its...
Earlier this month the Financial Conduct Authority (FCA) announced in its Policy Statement 22/1 the simplification of its current...
On 22nd December 2021 the FCA announced it will fine hedge fund BlueCrest Capital Management (UK) LLP for conflict of interest failings....
Earlier this month the FCA published its Consultation Paper (CP21/34) on improving the Appointed Representative (AR) regime....
This month the Appointed Representative regime is under scrutiny with both the FCA and HMT exploring what changes might be needed. The...
To coincide with COP26 Finance Day the FCA recently published a Discussion Paper on Sustainability Disclosure Requirements and Investment...
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...
In July the FCA and PRA (Prudential Regulation Authority) published a joint Discussion Paper (DP) aimed at further increasing rapid and...
The FCA has recently published a new consumer investment strategy aimed at giving consumers more confidence to invest, whilst supported...
This January the FCA reminded financial services firms of their obligation to review regulatory permissions and ensure they are up to...
With increasing volatility in Afghanistan as UK and US troops withdraw, the FCA have issued a statement reminding firms that they should...
Financial services marketers and advertisers in the UK now need to be verified by Google in order to advertise online. The Google Ads...
On 28 July 2021, the FCA published their Decision Notice against Markos Markou, the director and Chief Executive of morgage broker firm...
Ian James Hudson, an unauthorised financial adviser, was this week found guilty of fraudulent trading by Judge Tomlinson at Southwark...