Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024
With the changes to the Money Laundering Regulations now in effect from the 10th of January 2024, prompted by the Nigel Farage/Coutts scandal and the subsequent review of the treatment […]
Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024
As we approach February 2024, we would like to take this moment to remind you that the Financial Promotions Gateway regime Financial Promotions Gateway regime will start to be applied […]
Regulatory Bulletin Jan 2024 – Recent FCA Regulatory Publications
The Financial Conduct Authority (FCA) has published several recent consultations and announcements regarding proposed regulatory changes and supervisory expectations across a range of sectors. These aim to enhance market integrity, […]
24th Jan 2024: Webinar – KYC, Addressing the Challenges Around KYC and Best Practices
In light of the impending changes to the Money Laundering Regulations scheduled to take effect on the 10th of January 2024, prompted by the Nigel Farage/Coutts scandal and the subsequent […]
CP26/23: How to Prepare for the New Regulatory Regime for Critical Third Parties
The UK financial sector depends on many third-party providers for key services and functions, such as data storage, AI-powered tools and cyber security. As numerous firms become reliant on the […]
24th Jan 2024: The Role of A I & Machine Learning in Financial Compliance
Join Complyport and AGRC for an insightful webinar as we delve into the transformative impact of Artificial Intelligence (AI) and Machine Learning (ML) on the landscape of compliance within the financial services […]
FCA IFPR Observation Feedback
The FCA issued the IFPR newsletter to firms detailing its observations after the implementation of Investment Firms Prudential Regime (“IFPR”), something that could easily be missed in the barrage of emails we […]
FCA Section 166 Review: What is it and how to respond to s166 skilled person review
A Section 166 skilled Person review is often viewed negatively by regulated firms. It is always better to avoid having a Section 166 review imposed by the FCA. However, if […]
FCA Finalises Sustainability Disclosure Requirements for All Authorised Firms
After much speculation, PS23/16 was finally unveiled on 28 November 2023. As consumer demand for sustainable investment products increases, the Financial Conduct Authority (“FCA”) recognises the need for investors to have confidence […]
CP22/23 – Consultation Paper on Fees and Levies for 2024/25
The FCA has recently published its Consultation Paper on Regulatory fees and levies: policy proposals for 2024/25, which sets out the FCA’s proposed policy changes to the way it will raise […]