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8/11/2025 3:31:33 PM

UK signals changes to appointed representatives regime

By James Morris Simon Treacy

Appointed representatives are not authorised to provide financial services but can carry on regulated activities under the supervision of...

8/11/2025 11:02:42 AM

FCA finds senior managers among those breaching communication policies

By Raza Naeem Alexia Katzaros Simon Treacy

Wholesale banks record staff communications to help them spot misconduct. The UK FCA has found breaches of firms’ recording and...

8/8/2025 1:44:40 PM

FCA implements first phase of Mortgage Rule Review

By Clare Whittle Emily Rainbird

The FCA has taken its first steps towards simplifying mortgage rules and increasing flexibility for firms and customers under its...

7/18/2025 12:00:19 PM

In the numbers: the FCA and PRA's interventions and enforcement work 2024-25

By Duncan Campbell

From an interventions and enforcement perspective, the PRA's annual report is fairly brief as usual. The FCA's annual report gives a...

7/16/2025 10:08:13 AM

Leeds Reforms: the SMCR proposals at a glance

By Duncan Campbell

As part of the Leeds Reforms, HMT, the FCA and the PRA published consultation papers on a package of proposed changes to the SMCR. Their...

7/10/2025 4:14:23 PM

FCA fines Monzo £21m for failing to ensure its financial crime systems and controls keep pace with its business growth

By Jankee Gohil

Monzo’s story is so similar to many others – a small firm experiences rapid and significant business growth but its processes, systems...

7/3/2025 2:04:27 PM

Upper Tribunal turns trader in its latest landmark spoofing case

By Jankee Gohil Duncan Campbell

The Upper Tribunal's recent decision in Gonzalez, Sheth and Urra v FCA has implications for market abuse compliance efforts of all market...

6/26/2025 4:32:08 PM

FCA criticises how e-money and payments firms manage risk

By Harry Eddis Frances Hodgkins Olivia Murphy +3 more...

The Financial Conduct Authority has called on UK payments firms to improve their compliance arrangements. It follows a review which has...

5/23/2025 2:48:39 PM

FCA seeks feedback on proposed mortgage reforms

By Clare Whittle Emily Rainbird

The FCA is inviting stakeholder feedback on proposed reforms to simplify its mortgage framework and support sustainable home ownership...

5/13/2025 4:00:46 PM

Crystal clear: FCA reviews pricing of international payments

By Sara Cody

The FCA has published the results of its review of costs transparency in firms offering money remittance and cross-border payment...

5/7/2025 5:05:58 PM

FCA seeks views on its future cryptoasset regime

By Richard Hay James Morris Simon Treacy

Hot on the heels of the UK government releasing draft legislation to regulate cryptoassets, the Financial Conduct Authority has opened a...

4/30/2025 1:28:41 PM

FCA shares AI themes and launches AI test service

By Fiona Garrahan Sara Cody Simon Treacy

The Financial Conduct Authority is stepping up its work on AI in financial services. The results of its recent AI Sprint show how...

3/26/2025 4:57:20 PM

The FCA is spring cleaning (in its Consumer Duty CfI feedback statement)

By Sara Cody Duncan Campbell

Consultation season is coming, as the FCA publishes a roadmap for regulatory simplification. The FCA has published its feedback statement...

3/25/2025 5:55:22 PM

The FCA's strategy puts financial crime enforcement first

By Duncan Campbell

Interventions and enforcement take a back seat for most of the FCA's 2025-30 strategy. Or do they? The need for speed Yes, the FCA...

3/17/2025 4:16:48 PM

FCA review of customer support – culture, metrics and the removal of sludge

By Sara Cody Duncan Campbell

Journey mapping to identify potential ‘sludge’ and innovative uses of data analytics: just two examples of good practice in the FCA’s...

3/17/2025 4:15:11 PM

FCA guidance on the fair treatment of vulnerable customers – the power of the personal touch

By Sara Cody Duncan Campbell

After the seemingly endless stream of Consumer Duty publications published in the first year after go-live, the apparent pause in recent...

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Topics Hub

UK signals changes to appointed representatives regime

FCA finds senior managers among those breaching communication policies

FCA implements first phase of Mortgage Rule Review

In the numbers: the FCA and PRA's interventions and enforcement work 2024-25

Leeds Reforms: the SMCR proposals at a glance

FCA fines Monzo £21m for failing to ensure its financial crime systems and controls keep pace with its business growth

Upper Tribunal turns trader in its latest landmark spoofing case

FCA criticises how e-money and payments firms manage risk

FCA seeks feedback on proposed mortgage reforms

Crystal clear: FCA reviews pricing of international payments

FCA seeks views on its future cryptoasset regime

FCA shares AI themes and launches AI test service

The FCA is spring cleaning (in its Consumer Duty CfI feedback statement)

The FCA's strategy puts financial crime enforcement first

FCA review of customer support – culture, metrics and the removal of sludge

FCA guidance on the fair treatment of vulnerable customers – the power of the personal touch