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Safeguarding Series: the UK

In the first of the Safeguarding Series, we explore how different regulators approach safeguarding...
Consumer Duty

Consumer Duty View May 2024

Firms now have under 3 months to meet the 31 July 2024 deadline by which (1) firms need to have...
Clock

Tick tock, tick tock…

Geoffrey Chaucer is credited with the phrase “Time and tide waits for no man” (although The Rolling...
Regulations

Back to basics

If you read the industry press regularly you could be forgiven for thinking that the provision of...
Consumer Duty

Stubborn issue?

It was really just a matter of time before it happened following the implementation of Consumer...
Anti money laundering

EU expands AML regulation

In April 2024, the European Parliament passed legislation aimed at bolstering the EU's anti-money...
Market Watch

FCA Market Watch 78

In Market Watch 78, the FCA has put forward its recent supervisory...
Future Payments

Future of Payments

In November this year, HM Treasury (HMT) published a report, ‘The Future of Payments Review 2023’,...
e-money institutions

FCA review of Money mules

In October 2023, the FCA publicised the key findings arising from its multi-firm review of payment...
Crypto Promotions

FCA crypto promotion alerts

In October 2023, the FCA announced that it had issued 146 alerts about cryptoasset promotions on...
Digital Pound

The digital pound

The Bank of England (BoE) recently announced that it is looking into the case for a digital pound.
Money Laundering

Proliferation financing

Proliferation financing refers to the act of providing funds or financial services for use, in...
Global Payments

Global Payments Report 2023

In 2022, account-to-account (A2A) payments continued growing across the globe, with the expansion...
Economic Crime Plan

Economic Crime Plan

In March 2023, HM Government published its second Economic Crime Plan, covering the period 2023 to...
mortgage lending compliance

Mortgage lending statistics

The FCA collects mortgage lending data via the Mortgage Lending and Administration Return (MLAR)1...
Payment Services

Payment Services Newsletter

Payment Services Compliance Newsletter - Here's an overview of our monthly payment services updates:
Payment services

Review and Call for Evidence

In January 2023, HM Treasury released its statutory review of the Payment Services Regulations 2017...
World Payment

World Payment Report 2022

The latest edition of the World Payment Report 2022 is now live. As we can all acknowledge, work,...
Resilience

Operational resilience

At the end of 2019, the PRA and FCA publicised a joint Consultation Paper on Operational...
Deadline

TPR Deadline Nov 22

In its October 2022, regulation roundup, the FCA announced that EEA-based firms in the temporary...
High cost risk

High cost lenders

In October 2022, the FCA issued a Dear CEO letter that sets out the regulator’s updated view on the...

Market Watch 70

In its Market Watch 70, the FCA outlines some recent observations on the transaction reporting and...

FCA Consumer Duty webinars

In September 2022, the FCA announced that it is hosting a series of sector-based webinars in...

Funeral Plan Regulations

In March 2021, the FCA launched a consultation on its proposal for introducing regulation to the...

New Payments Architecture

The New Payments Architecture (NPA) is intended to create a retail payment infrastructure that will...

FCA issues Market Watch 69

In its Market Watch 69, issued in May 2022, the FCA discusses firms’ arrangements for market abuse...

Employee fraud increases

KPMG’s latest published biannual UK Fraud Barometer disclosed that cases of fraud by employees rose...
compliance consultants

Matched Principal exemption

The Matched Principal exemption from the regulated activity of dealing as principal will no longer...

FCA Business Plan 2021/22

The FCA Business Plan 2021/22, issued on 15th July 2021. It's the first annual plan since Nikhil...

New FCA online fees portal

New FCA online fees portal launched on 12 April 2021 for users to access their invoices and arrange...

FCA Market Watch 66

In its most recent Market Watch 66, published in Jan 20, the FCA sets out its expectations for...

5MLD temporary crypto regime

FCA established, from 16 Dec 2020, a 5MLD temporary crypto regime to allow existing cryptoasset...

SM&CR annual reporting

The SM&CR introduced a new annual reporting requirement which firms must complete and submit to the...

New CBDF rules

The CBDF rules (CBDF Directive) introduced a new harmonised definition for "pre-marketing" in the...

FCA DB transfer feedback

The FCA is undertaking thirty enforcement investigations arising from concerns identified in the...

Assessment of Value reports

The FCA is holding discussions with fund firms to ascertain whether they are complying with the...