The FCA just went next-level on financial promotions interventions. But how?
Compared to previous quarters, in 2022 Q3 the FCA apparently got an awful lot more efficient at getting financial promotions amended or...
Financial Regulation Insights
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The FCA's latest Consumer Duty course corrections
Happy Holidays. Have some fines.
It isn't just you. The FCA and PRA enforcement teams have been unusually busy this December. The busiest they've been at any...
Twelve Days of Consumer Duty #12: dealing with out-of-scope firms
We have reached the end of our Twelve Days of Consumer Duty exploring key questions midway through firms’ implementation journeys.
Insurance and pensions regulation – ten things to look out for in 2023
One of the satisfying bits about this time of year – bookending the last twelve months and looking ahead to the next – is the abundance...
Accurately describe how your crypto token is backed - or face the boot
In a two-for-one, the Upper Tribunal used its decision in Moneybrain to weigh in on two important regulatory themes: more stringent...
Twelve Days of Consumer Duty #11: oversight of outsourced providers
It’s day 11 of our Twelve Days of Consumer Duty exploring key questions midway through firms’ implementation journeys.
Today’s...
Twelve Days of Consumer Duty #10: more than just TCF
It’s day 10 of our Twelve Days of Consumer Duty exploring key questions midway through firms’ implementation journeys.
Today’s...
Twelve Days of Consumer Duty #9: the Board Champion’s role
It’s day 9 of our Twelve Days of Consumer Duty exploring key questions midway through firms’ implementation journeys.
Today’s question
Twelve Days of Consumer Duty #8: next steps after implementation plans
It’s day 8 of our Twelve Days of Consumer Duty exploring key questions midway through firms’ implementation journeys.
Today’s question
Twelve Days of Consumer Duty #7: managing in-scope and out-of-scope activities
It’s day 7 of our Twelve Days of Consumer Duty exploring key questions midway through firms’ implementation journeys.
Today’s question
Twelve Days of Consumer Duty #6: “foreseeable harm” in payments
It’s day 6 of our Twelve Days of Consumer Duty exploring key questions midway through firms’ implementation journeys.
Today’s question
FCA seeks views on retail disclosure in a world without UK PRIIPs
The FCA has kicked off discussions on the future disclosure framework for retail investments, following HM Treasury's announcement
Twelve Days of Consumer Duty #5: vulnerability outside mass market business
It’s day 5 of our Twelve Days of Consumer Duty exploring key questions midway through firms’ implementation journeys.
Today’s question
Twelve Days of Consumer Duty #4: vulnerability and the cost of living
It’s day 4 of our Twelve Days of Consumer Duty exploring key questions midway through firms’ implementation journeys.
Today’s question
Twelve Days of Consumer Duty #3: the meaning of “material influence”
It’s day 3 of our Twelve Days of Consumer Duty exploring key questions midway through firms’ implementation journeys.
Today’s question
Edinburgh reforms: Government plans to revoke the PRIIPs Regulation
The UK PRIIPs Regulation will be revoked "as a matter of priority" once the new Financial Services and Markets Bill becomes law, to be...
All I want for Christmas is... reform of the Consumer Credit Act
It is coming, but whether it is before Christmas 2027 remains to be seen
HM Treasury has released a consultation into the reform of...
Edinburgh Reforms: Key points for Payments firms
The government's Edinburgh Reforms seek to drive growth and competitiveness in the financial services sector. For payments firms there...
Edinburgh reforms: Government signals openness to relaxing UK short selling regime
Among the measures in the "Edinburgh reforms" package, the Government has published a Call for Evidence (CfE) on reforms to the UK...
Twelve Days of Consumer Duty #2: retail sale of non-retail products
It’s day 2 of our Twelve Days of Consumer Duty exploring key questions about this new regime midway through firms’ implementation...
SMCR reform: loosening red tape or individual responsibility?
UK chancellor Jeremy Hunt has announced a review of the Senior Managers and Certification (SMCR) regime as part of a wider package of...
EU Commission proposes targeted changes to EU Market Abuse Regime
The European Commission has published a package of proposals in connection with its commitment to simplify EU listing rules. The...
Financial promotions gateway to pose problem for crypto firms
Incoming restrictions on financial promotions will curtail how cryptoasset firms advertise in the UK.
FCA consultation
The FCA has proposed...
Twelve Days of Consumer Duty #1: The FCA’s proposed amendments
Welcome to our Twelve Days of Consumer Duty. Leading up to the festive break, we’re exploring twelve key questions about the Duty...
A big bang of policy proposals for the UK financial sector?
A raft of policy announcements relating to financial services is in the offing.
The Financial Services and Markets Bill is scheduled to...
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