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Understanding FCA Requirements for Conflicts of Interest in Financial Services: Regulatory Expectations and Best Practices
Conflicts of interest pose significant challenges in financial services, particularly within insurance and reinsurance sectors.

Roland Romata
Feb 244 min read
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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,

Roland Romata
Sep 11, 20246 min read
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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.

Roland Romata
Jun 19, 20246 min read
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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.

Roland Romata
Feb 22, 20243 min read
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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...

Roland Romata
Feb 19, 20244 min read
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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.

Roland Romata
Jan 29, 20243 min read
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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...

Roland Romata
Jul 27, 20237 min read
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