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. Financial Promotions Poppy Brewer 29/09/2023 Financial Promotions Poppy Brewer 29/09/2023 FCA publish essential reading for firms promoting high-risk investments Read More Financial Promotions Joe Denney 28/09/2023 Financial Promotions Joe Denney 28/09/2023 Want to approve promotions? You’ll need to demonstrate your staff are competent. Read More Poppy Brewer 14/09/2023 Poppy Brewer 14/09/2023 REUL Britannia: The FCA’s Approach to Replacing EU Law Read More Consumer Duty Joe Denney 14/08/2023 Consumer Duty Joe Denney 14/08/2023 Consumer Duty and its risks: information and support, or advice? Read More Poppy Brewer 09/08/2023 Poppy Brewer 09/08/2023 Time ticking on meeting the enhanced requirements of the new AR Regime Read More Financial Promotions Poppy Brewer 01/08/2023 Financial Promotions Poppy Brewer 01/08/2023 Is your social media marketing in line with (updated) FCA expectations? Read More Poppy Brewer 10/07/2023 Poppy Brewer 10/07/2023 FCA warn fund managers to get liquidity management right Read More Poppy Brewer 05/07/2023 Poppy Brewer 05/07/2023 Recent events highlight FCA’s continued focus on non-financial misconduct Read More Joe Denney 03/07/2023 Joe Denney 03/07/2023 Is a review of firms’ arrangements with auditors on the horizon? Read More Poppy Brewer 03/07/2023 Poppy Brewer 03/07/2023 SMCR Conduct Rules: are you meeting the standards? Read More Consumer Duty Joe Denney 29/06/2023 Consumer Duty Joe Denney 29/06/2023 (Consumer) Duty calls: one month to go Read More Joe Denney 19/06/2023 Joe Denney 19/06/2023 Financial Resilience Survey: what’s changing and what does it mean for you? Read More Poppy Brewer 01/06/2023 Poppy Brewer 01/06/2023 FCA review of fair value assessments: is yours up to scratch? Read More Consumer Duty Joe Denney 06/02/2023 Consumer Duty Joe Denney 06/02/2023 Consumer Duty: time to act Read More Appointed Representatives Joe Denney 04/02/2023 Appointed Representatives Joe Denney 04/02/2023 Principal firms – are you getting governance of ARs right? Read More Consumer Duty Poppy Brewer 03/02/2023 Consumer Duty Poppy Brewer 03/02/2023 FCA issue letters to firms setting out Consumer Duty expectations Read More Joe Denney 31/01/2023 Joe Denney 31/01/2023 FCA systems - prepare for changes now Read More Consumer Duty Poppy Brewer 25/01/2023 Consumer Duty Poppy Brewer 25/01/2023 With 6 months to go, FCA publishes first review of Consumer Duty implementation Read More Joe Denney 24/01/2023 Joe Denney 24/01/2023 Hurry up and wait for changes: FCA review of UK Compensation Framework Read More Consumer Duty Joe Denney 21/01/2023 Consumer Duty Joe Denney 21/01/2023 Consumer Duty: do you need more resource? Read More Newer Posts Older Posts
Financial Promotions Poppy Brewer 29/09/2023 Financial Promotions Poppy Brewer 29/09/2023 FCA publish essential reading for firms promoting high-risk investments Read More
Financial Promotions Joe Denney 28/09/2023 Financial Promotions Joe Denney 28/09/2023 Want to approve promotions? You’ll need to demonstrate your staff are competent. Read More
Poppy Brewer 14/09/2023 Poppy Brewer 14/09/2023 REUL Britannia: The FCA’s Approach to Replacing EU Law Read More
Consumer Duty Joe Denney 14/08/2023 Consumer Duty Joe Denney 14/08/2023 Consumer Duty and its risks: information and support, or advice? Read More
Poppy Brewer 09/08/2023 Poppy Brewer 09/08/2023 Time ticking on meeting the enhanced requirements of the new AR Regime Read More
Financial Promotions Poppy Brewer 01/08/2023 Financial Promotions Poppy Brewer 01/08/2023 Is your social media marketing in line with (updated) FCA expectations? Read More
Poppy Brewer 10/07/2023 Poppy Brewer 10/07/2023 FCA warn fund managers to get liquidity management right Read More
Poppy Brewer 05/07/2023 Poppy Brewer 05/07/2023 Recent events highlight FCA’s continued focus on non-financial misconduct Read More
Joe Denney 03/07/2023 Joe Denney 03/07/2023 Is a review of firms’ arrangements with auditors on the horizon? Read More
Poppy Brewer 03/07/2023 Poppy Brewer 03/07/2023 SMCR Conduct Rules: are you meeting the standards? Read More
Consumer Duty Joe Denney 29/06/2023 Consumer Duty Joe Denney 29/06/2023 (Consumer) Duty calls: one month to go Read More
Joe Denney 19/06/2023 Joe Denney 19/06/2023 Financial Resilience Survey: what’s changing and what does it mean for you? Read More
Poppy Brewer 01/06/2023 Poppy Brewer 01/06/2023 FCA review of fair value assessments: is yours up to scratch? Read More
Consumer Duty Joe Denney 06/02/2023 Consumer Duty Joe Denney 06/02/2023 Consumer Duty: time to act Read More
Appointed Representatives Joe Denney 04/02/2023 Appointed Representatives Joe Denney 04/02/2023 Principal firms – are you getting governance of ARs right? Read More
Consumer Duty Poppy Brewer 03/02/2023 Consumer Duty Poppy Brewer 03/02/2023 FCA issue letters to firms setting out Consumer Duty expectations Read More
Consumer Duty Poppy Brewer 25/01/2023 Consumer Duty Poppy Brewer 25/01/2023 With 6 months to go, FCA publishes first review of Consumer Duty implementation Read More
Joe Denney 24/01/2023 Joe Denney 24/01/2023 Hurry up and wait for changes: FCA review of UK Compensation Framework Read More
Consumer Duty Joe Denney 21/01/2023 Consumer Duty Joe Denney 21/01/2023 Consumer Duty: do you need more resource? Read More