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Regulatory landscape and timeline In our last blog, we outlined the key proposals set out in the Treasury’s latest draft consultation...
At a glance On 25 October the FCA published proposals on sustainability-related labels and disclosures for UK fund managers, portfolio...
At a Glance Boards of investment managers in scope of the FCA’s Consumer Duty (”the Duty”) are expected to sign off on implementation...
The Mortgage Market Review (MMR) implemented in April 2014 marked the biggest regulatory change within the mortgage market following the...
Our Investment and Wealth Management Survey explored what sector firms perceive to be the key challenges associated with the FCA’s...
In the first of a series of blogs on mortgage distribution, we explore some of the key observations on the mortgage advice journey...
For many service organisations that perform CASS operations for their regulated clients, the use of CASS assurance reporting remains...
On 2 July 2021, the Financial Conduct Authority (‘FCA’) published its “Dear CEO Letter” covering key issues identified during reviews of...
In the space of seven weeks, the European Securities and Markets Authority (ESMA) and national competent authorities (NCAs) have taken a...
Updated May 2020Over the past weeks conduct supervisors have announced a number of measures to ease firms’ compliance efforts or...
The FCA recently published its 2020/21 Business Plan. This article summarises the key messages for firms with an emphasis upon novel...
The FCA have released their 2019 Suspicious Transaction and Order Report (STOR) numbers, but what conclusions can be drawn?Well, STOR...