Update Compliance Processes or Risk Failure to Meet Operational Resilience Deadline
LONDON – City compliance, governance, and risk consultancy Complyport is today launching an Operational Resilience Support service for firms regulated in the UK. With a new policy from the Financial […]
‘Financial Crime update bulletin’
HM Treasury Approves AML Guidance for the Legal Sector – It was reported last week that HM Treasury has approved the updated Legal Sector Affinity Group (LSAG) Anti-Money Laundering (AML) […]
Advising: FCA Register
Of Relevance to: Firms whose activities include ‘advising on investments ________________________________________ Advising: FCA Register As mentioned in Regulatory Roundup 74, firms that had the activity of ‘advising on investments’ under […]
The FCA Hot Topic: Suitability in Wealth Management
FCA stresses the actions they are and will be taking on suitability issues.
Penny Woollacott
FCA Capital Adequacy Guidance for Solo Regulated Firms
The FCA issued a statement warning that firms must plan ahead and ensure sound management of their financial resources in the face of the threats from Coronavirus. Whilst the FCA […]
FCA warns Senior Managers and the CEO about CFD practices
Further to our email Wednesday June 16th 2021 which provided the sector with our heads-up regarding FCA’s approach to Contracts for Difference (“CFD”) Brokers, we confirm that the FCA dispatched a “Dear […]
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