Insights
FCA imposes requirements on advisory brokerage firm
On 15th November 2022 the UK Financial Conduct Authority (“FCA”) imposed conditions on the activities of Pello Capital Limited (“Pello”) because it was held to be: “failing, or is likely to fail, to satisfy the
FCA publishes letter to wholesale brokers
The FCA has published a portfolio letter setting out a new strategy for supervising wholesale brokers. The letter notes that periods of sustained volatility since 2019 have heightened financial, credit, liquidity and operational risks. The
Gateway to promote: what the proposals in CP22/27 mean for firms approving financial promotions
On 6th December 2022 the UK Financial Conduct Authority (“FCA”) published Consultation Paper 22/27 (“CP22/27”) to take soundings on proposals on how to operationalise a new “gateway” for firms authorised under the Financial Services and
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