FCA Review Highlights Gaps in Wholesale Brokers’ Controls
The Financial Conduct Authority’s (FCA) recent report on Money Laundering [...]
FCA Blocks Change in Control Due to Compliance Failures
The Financial Conduct Authority (FCA) has recently objected to a [...]
FCA CFD Supervisory Strategy
The Financial Conduct Authority (FCA) has issued its latest Portfolio [...]
Lessons from Metro Bank’s AML Failings
In November 2024, the Financial Conduct Authority (FCA) imposed a [...]
FCA Market Watch 81
The Financial Conduct Authority (FCA) has released Market Watch 81, [...]
FCA APPG Report: MPs Highlight FCA Failures
Introduction A new report by the All-Party Parliamentary Group (“APPG”) [...]
Latest FCA Change in Control Guidance
Navigating the FCA change in control process can be challenging. [...]
Culture and Non-Financial Misconduct: FCA Expectations
The recent Financial Conduct Authority (FCA) survey on culture and [...]
Is Your Firm Ready for the FCA’s 2025 Operational Resilience Deadline?
As the March 2025 deadline approaches, the Financial Conduct Authority [...]
FCA Market Watch 79
In May, FCA Market Watch 79 discussed failures in market [...]
