The FCA Safeguarding Deadline Is Approaching: What Payment and E-Money Firms Must Have in Place
As the implementation date for the FCA’s strengthened safeguarding regime [...]
Preparing for the FCA’s New Safeguarding Requirements: What Payment and E-Money Firms Should Have Done by Now
In the first article in this series, we explained the [...]
CASS 15 Explained: The FCA’s New Safeguarding Regime for Payments and E-Money Firms
The regulator is introducing a significant overhaul of the FCA [...]
Preparing a strong Variation of Permission (VoP) application
So you want to expand your business. What does a [...]
Culture and Non-Financial Misconduct: FCA Expectations
The recent Financial Conduct Authority (FCA) survey on culture and [...]
MiFID II Transaction Reporting Failures: FCA Crackdown
Introduction Some FCA regulatory disclosures highlight significant failures in MiFID [...]
FCA publishes important MiFIR transaction reporting updates
“…issues persist, and some firms are not paying sufficient attention [...]
FCA CFD Supervisory Strategy
The Financial Conduct Authority (FCA) has outlined its current supervisory [...]
FCA Market Abuse Regulation: Market Watch 83
Inside Information Controls at Corporate Finance Firms The Financial Conduct [...]
FCA Authorisation Process Updates for UK Firms
UK Financial Services Authorisations: Open for Business? What’s changing with [...]
