FCA Outlines 5-Year Strategy
The Financial Conduct Authority (FCA) has unveiled a comprehensive 5-year [...]
FCA Fines London Metal Exchange
The Financial Conduct Authority (FCA) has imposed a £9.2 million [...]
FCA Outlines Key Priorities for Payments Portfolio Firms
The Financial Conduct Authority (FCA) has outlined three critical priorities [...]
Internal capital adequacy and risk assessment (“ICARA”): getting the basics right
Some tips to help you get off to a good start in developing your ICARA process, covering elements such as governance, testing and data quality.
Market Watch 69 – Market abuse surveillance for small and medium sized firms
Do your arrangements for conducting market abuse surveillance make the grade? This article helps you make an assessment.
28 days later: “Use it or lose it” gathers pace…
The FCA has received new powers to cancel or vary unused regulatory permissions, potentially within 28 days. Time to cull those zombie permissions?
The FCA and BoE announce section 166 review into the LME’s handling of the disorderly nickel market. Back to the future?
No one has a crystal ball. However, the impending regulatory reviews into the operation of the LME in the aftermath of the nickel crisis may revisit past proposals for reform.
Regulatory roundup – Q1, 2022 – UK: Investments, crypto and payment services
An overview of key regulatory developments in the UK in Q1, 2022 for busy senior managers and compliance professionals.
Summary of outcomes from the Wholesale Markets Review
Pushed for time and looking for a quick summary to update key stakeholders in your business?
Seeking registration as an agent of a PI, EMI or RAISP? Careful planning is essential.
If you are thinking of seeking registration as an agent of a payment service or electronic money provider, read this first.
