24 Aug, 2022 Why do regulatory change projects fail? By Martyn Hopper Clare McMullen The FCA's £17.9m fine on Citigroup for failings in its implementation of the Market Abuse Regulation is remarkable for two main reasons: ...
22 Aug, 2022 Review your financial promotions for BNPL By Olivia Murphy In advance of buy-now pay-later agreements being brought into the regulatory perimeter, the FCA has written to BNPL providers (both...
17 Aug, 2022 There are hidden trends in the FCA's Interventions and Enforcement reporting - and they could surprise you By Sara Cody Duncan Campbell The FCA's latest annual report contains operating service metrics on its Interventions and Enforcement work. These are more comprehensive...
15 Aug, 2022 EU CSDR: ECB signals lack of support for controversial mandatory buy-in regime By James Morris On 1 August the ECB published its Opinion to the Council regarding the Commission's March 2022 Proposal for amendments to the Central...
15 Aug, 2022 Clarity on change in control for cryptoasset firms By Olivia Murphy On 11 August 2022, the FCA updated its webpage on change in control notification forms to include links to forms for use by persons...
11 Aug, 2022 FCA consults on changes to redress framework for pension transfer advice By Jimi Piggott-Bader The FCA has opened a consultation (CP22/15) into redress calculations for customers who suffer financial loss following a DB to DC...
10 Aug, 2022 FCA Dear CEO letter: Alternatives Supervision Strategy August 2022 By Premlata Fagan The FCA has updated its supervisory strategy and priorities for firms within its ‘Alternatives’ portfolio in a Dear CEO letter published...
08 Aug, 2022 FCA makes new rules to increase scrutiny of Appointed Representatives By James Morris Often viewed as an administratively straightforward and "light-touch" alternative to full FCA authorisation (or a bridge towards it),...
05 Aug, 2022 FCA issues statement on mortgage switching as BoE hikes interest rates By Jimi Piggott-Bader The FCA has issued its latest statement on mortgage switching, amid Bank of England warnings of a looming recession and its decision to...
03 Aug, 2022 EU: MiFID II ESG amendments apply from 2 August By Julia Voskoboinikova The set of delegated regulations and directives in relation to the integration of sustainability risks and sustainability factors in the...
01 Aug, 2022 A design for life (and non-life) - FCA confirms Consumer Duty impact for insurance sector By Jimi Piggott-Bader The Manic Street Preachers' Everything Must Go, which celebrated its 25th anniversary last year, marked a musical and commercial...