King’s Speech Marks Beginning of New Labour Government’s Legislative Session
What Does This Mean for the Regulatory Landscape? On the 17th of July 2024, Parliament convened for the State Opening. During the King’s speech, the first legislative session commenced, […]
Microsoft Outage: Third Party Disruptions and Cybersecurity
Microsoft’s severe global operational outage that happened today 19th July, caused widespread disruptions across various sectors. This incident had significant implications for businesses and consumers alike, highlighting vulnerabilities in our […]
Aligning MiFID Services with Part 4A Permissions
The UK’s financial regulatory framework is complicated, with several directives and permissions in place to ensure the integrity of the financial markets. Two important components of this framework are the […]
FCA Issues Warning to Principal Firms with Overseas Appointed Representatives
The Financial Conduct Authority (“FCA”) has issued a statement cautioning Principal firms with oversees appointed representatives (“OARs”). In its warning to Principals, the Regulator outlined its expectations in light of […]
FCA and CASS Enforcement Digest
The Client Assets Sourcebook (CASS), governed by the Financial Conduct Authority (FCA), stands as a safeguard against the financial turmoil that has historically fallen onto institutions and clients alike. The […]
Navigating the Claims Management Landscape: A Guide to FCA Regulation and Authorisation
In today’s complex financial environment, Claims Management Companies (“CMCs”) play a vital role in assisting consumers with claims related to financial services. From mis-sold financial products to payment protection insurance […]
The SMF3 Role in FCA-Regulated Entities
In the ever-evolving landscape of financial regulation, the United Kingdom’s Financial Conduct Authority (“FCA”) plays a pivotal role in maintaining the integrity of financial markets and protecting consumers. One of […]
FCA Sets out its Agenda for the Asset Management Sector in 2024/25
In a speech addressed to the asset management sector on 23 May 2024, Ashley Alder, Chair of the Financial Conduct Authority (“FCA”) outlined the FCA’s agenda. The speech comes seven […]
FCA trading apps review over gaming concerns
On 20th June 2024, the FCA published a press release presenting the results of its experiment, testing the effect of Digital Engagement Practices (DEPs) used by trading apps on consumer […]
Financial Promotions on Social Media
Social media is increasingly becoming central to our lives, with different platforms being used for differing purposes. However, it is important for firms and individuals on these platforms to remember […]