FCA Compliance

Sep 116 min

The FCA’s Senior Managers and Certification Regime (SM&CR) applying to Lloyd’s of London

The FCA, the PRA and Lloyd's have common objectives in ensuring that the Lloyd's market is appropriately regulated. To minimise duplication,

Jun 196 min

Navigating the Crypto Compliance Landscape: A Consultant's Perspective

Crypto firms face evolving regulations and severe penalties for non-compliance. Here we explore the UK's crypto regulations and FCA rules.

Feb 223 min

Six Months of Consumer Duty: Reflections, Challenges, and Opportunities

Dive into the intersection of SM&CR & Consumer Duty the implications & challenges awaiting firms in meeting the next stage of the Duty.

Feb 194 min

FCA Chief Exec Responds to HM Treasury Select Committee: What You Need to Know and Why

This letter is a response to follow-up questions from the Treasury Committee regarding the FCA's work on various topics, including: Asset...

Jan 293 min

Financial Promotions for Unauthorised Persons - What You Need to Know

Our latest article helps firms understand the FCA's new gateway for approving financial promotions for unauthorised persons.

Jul 27, 20237 min

Understanding FCA Consumer Duty Regulations: A Guide for Brokers

As a business operating in the financial services industry, it is crucial to stay informed about regulatory changes that affect your...