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, [...]
Latest FCA Change in Control Guidance
Navigating the FCA change in control process can be challenging. [...]
Is Your Firm Ready for the FCA’s 2025 Operational Resilience Deadline?
As the March 2025 deadline approaches, the Financial Conduct Authority [...]
FCA publishes final report outlining its ICARA observations
On 27th November 2023 the UK Financial Conduct Authority (“FCA”) [...]
FCA publishes letter to wholesale brokers
The FCA has published a portfolio letter setting out a [...]
The FCA’s largest fine of 2022 – a lesson in regulatory change management
The FCA fined Citigroup Global Markets Limited (“CGML”) £12.6m for [...]
