We tell you what you need to know Our thoughts on regulatory changes and their challenges Get email updates Enter your email address to receive regular news and updates. First Name Last Name Email Address Sign Up Our site is protected by reCAPTCHA and we will only process your data as set out in our Privacy Policy. You’re now signed up to receive updates! Please check your junk mail if you don’t hear from us. You may need to add us to your safe senders list. Joe Denney 08/04/2024 Joe Denney 08/04/2024 FCA publishes updated Perimeter Report Read More Consumer Duty Sean Campbell 18/03/2024 Consumer Duty Sean Campbell 18/03/2024 Upcoming FCA review of firms’ treatment of vulnerable customers: are you ready? Read More Financial Crime Peter Timson 12/03/2024 Financial Crime Peter Timson 12/03/2024 FCA issues Dear CEO letter over Anti-Money Laundering Failings Read More Sean Campbell 07/03/2024 Sean Campbell 07/03/2024 FCA consults on proposals to start publicising live investigations Read More Poppy Brewer 01/03/2024 Poppy Brewer 01/03/2024 Dear CEO letter provides insight into regulatory agenda for fund managers Read More Poppy Brewer 23/02/2024 Poppy Brewer 23/02/2024 Crowdfunding and P2P lending firms: time for a regulatory stock-take Read More Consumer Duty Poppy Brewer 21/02/2024 Consumer Duty Poppy Brewer 21/02/2024 FCA publish examples of good and poor practice ahead of Annual Consumer Duty Report deadline Read More Financial Promotions Poppy Brewer 14/02/2024 Financial Promotions Poppy Brewer 14/02/2024 FCA fines and bans former Director of London Capital & Finance plc over financial promotion failings Read More Financial Crime Poppy Brewer 25/01/2024 Financial Crime Poppy Brewer 25/01/2024 Changes to the UK’s definition of High Risk Third Countries Read More Poppy Brewer 22/12/2023 Poppy Brewer 22/12/2023 Imminent FCA review of private markets participants’ valuation practices Read More Poppy Brewer 14/12/2023 Poppy Brewer 14/12/2023 What does the regulatory pipeline look like for 2024? Read More ESG Poppy Brewer 11/12/2023 ESG Poppy Brewer 11/12/2023 FCA publish Sustainability Disclosure Requirements for fund managers and distributors Read More Prudential Poppy Brewer 06/12/2023 Prudential Poppy Brewer 06/12/2023 Changes to prudential rules for personal investment firms (retail advisors and arrangers) Read More Poppy Brewer 30/11/2023 Poppy Brewer 30/11/2023 Working with unregulated introducers? Don’t fall foul of the FCA. Read More Poppy Brewer 27/11/2023 Poppy Brewer 27/11/2023 FCA update on reforms to the asset management regime Read More Financial Promotions Poppy Brewer 23/11/2023 Financial Promotions Poppy Brewer 23/11/2023 UK Government changes to financial promotion exemptions Read More Poppy Brewer 15/11/2023 Poppy Brewer 15/11/2023 “Action Required” for wealth managers and stockbroking firms Read More Poppy Brewer 12/10/2023 Poppy Brewer 12/10/2023 Senior Manager Applications: easier to apply but harder to get approved? Read More Poppy Brewer 12/10/2023 Poppy Brewer 12/10/2023 UK data bridge to the US opens Read More Poppy Brewer 11/10/2023 Poppy Brewer 11/10/2023 FCA publishes Portfolio Letters: have you read yours? Read More Older Posts
Consumer Duty Sean Campbell 18/03/2024 Consumer Duty Sean Campbell 18/03/2024 Upcoming FCA review of firms’ treatment of vulnerable customers: are you ready? Read More
Financial Crime Peter Timson 12/03/2024 Financial Crime Peter Timson 12/03/2024 FCA issues Dear CEO letter over Anti-Money Laundering Failings Read More
Sean Campbell 07/03/2024 Sean Campbell 07/03/2024 FCA consults on proposals to start publicising live investigations Read More
Poppy Brewer 01/03/2024 Poppy Brewer 01/03/2024 Dear CEO letter provides insight into regulatory agenda for fund managers Read More
Poppy Brewer 23/02/2024 Poppy Brewer 23/02/2024 Crowdfunding and P2P lending firms: time for a regulatory stock-take Read More
Consumer Duty Poppy Brewer 21/02/2024 Consumer Duty Poppy Brewer 21/02/2024 FCA publish examples of good and poor practice ahead of Annual Consumer Duty Report deadline Read More
Financial Promotions Poppy Brewer 14/02/2024 Financial Promotions Poppy Brewer 14/02/2024 FCA fines and bans former Director of London Capital & Finance plc over financial promotion failings Read More
Financial Crime Poppy Brewer 25/01/2024 Financial Crime Poppy Brewer 25/01/2024 Changes to the UK’s definition of High Risk Third Countries Read More
Poppy Brewer 22/12/2023 Poppy Brewer 22/12/2023 Imminent FCA review of private markets participants’ valuation practices Read More
Poppy Brewer 14/12/2023 Poppy Brewer 14/12/2023 What does the regulatory pipeline look like for 2024? Read More
ESG Poppy Brewer 11/12/2023 ESG Poppy Brewer 11/12/2023 FCA publish Sustainability Disclosure Requirements for fund managers and distributors Read More
Prudential Poppy Brewer 06/12/2023 Prudential Poppy Brewer 06/12/2023 Changes to prudential rules for personal investment firms (retail advisors and arrangers) Read More
Poppy Brewer 30/11/2023 Poppy Brewer 30/11/2023 Working with unregulated introducers? Don’t fall foul of the FCA. Read More
Poppy Brewer 27/11/2023 Poppy Brewer 27/11/2023 FCA update on reforms to the asset management regime Read More
Financial Promotions Poppy Brewer 23/11/2023 Financial Promotions Poppy Brewer 23/11/2023 UK Government changes to financial promotion exemptions Read More
Poppy Brewer 15/11/2023 Poppy Brewer 15/11/2023 “Action Required” for wealth managers and stockbroking firms Read More
Poppy Brewer 12/10/2023 Poppy Brewer 12/10/2023 Senior Manager Applications: easier to apply but harder to get approved? Read More
Poppy Brewer 11/10/2023 Poppy Brewer 11/10/2023 FCA publishes Portfolio Letters: have you read yours? Read More
