DFSA AML Return: Key Compliance Guidelines for DIFC-Regulated Brokerages
If your brokerage operates within the Dubai International Financial Centre (“DIFC”) and is regulated by the Dubai Financial Services Authority (“DFSA”), there are specific Anti-Money Laundering (“AML”) compliance obligations you […]
The Importance of Effective Compliance Management in Relation to the Fair Treatment of Vulnerable Customers
The Financial Conduct Authority (FCA) in the UK has placed significant emphasis on the fair treatment of vulnerable customers, as outlined in its guidance FG21/1. This guidance highlights the need […]
Compliance Contracts – SIMPLIFIED.
Say Goodbye to Smoke-and-Mirrors Pricing in Compliance If you are running a regulated firm, you know the importance of compliance. What you shouldn’t have to worry about is decoding a […]
Operational Resilience: Economic Blackout
What Happened On Monday 28th April 2025, a massive power outage struck Spain and Portugal, plunging millions across the Iberian Peninsula into darkness and disrupting critical infrastructure. The blackout, described […]
Consumer Support Outcome: FCA Good and Bad Practices
Introduction The Financial Conduct Authority (FCA) has released a comprehensive review of firms’ approaches to delivering the consumer support outcome, one of the four core components of the Consumer Duty. […]
Strengthening Liquidity Risk Management: Insights from the FCA’s Multi-Firm Review
In today’s volatile financial landscape, liquidity risk management is more crucial than ever. The Financial Conduct Authority (FCA) recently conducted a multi-firm review of liquidity risk management practices across wholesale […]
Elevating Financial Promotions: FCA’s 2024 Data Insights
The Financial Conduct Authority (“FCA”) has taken significant steps in 2024 to protect consumers from misleading Financial Promotions. With nearly 20,000 advertisements amended or withdrawn, the FCA’s proactive approach underscores […]
A Path Forward for Claims Management Companies
Introduction The Financial Conduct Authority (FCA) recently wrote to Claims Management Companies (CMCs) to outline its latest supervisory strategy for the coming years. The FCA reaffirmed its commitment to ensuring […]
Section 165 – Wealth Management and Stockbroking Sector Survey
Introduction In February 2025, a number of firms will have received a Section 165 request, which is a mandatory regulatory request for information on various aspects of their business. This […]
Consumer Duty Champion Requirement: A Best Practice Approach
Introduction The Financial Conduct Authority (FCA) continues to refine its regulatory framework to balance consumer protection, market integrity, and economic growth. Recently, the FCA clarified that appointing a Consumer Duty […]