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Roland Romata
Sep 11, 20246 min read
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,
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Roland Romata
Jun 19, 20246 min read
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.
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Roland Romata
Feb 22, 20243 min read
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.
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Roland Romata
Feb 19, 20244 min read
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...
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Roland Romata
Jan 29, 20243 min read
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.
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Roland Romata
Jul 26, 20237 min read
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...
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