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Rebalancing risk and building trust: The FCA’s new five year strategy

The UK Financial Conduct Authority (FCA) has published its strategy for the next five years and it has a very different tone and objective to the three-year strategy it shared in 2022. This shift in tone reflects developments...more

UK Payment Systems Regulator to be abolished - what's next?

The UK Government has announced the abolition of the Payment Systems Regulator (PSR), with a view to driving economic growth and reducing the burdens on business. The practical impact on firms is yet to be seen, and the...more

UK regulatory reform: Emphasising individual accountability through remuneration

The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) are considering ways to enhance individual accountability, particularly among Senior Managers, by more fully integrating the regulatory...more

Assertive supervision and the UK Government’s growth agenda – why it’s too soon for financial institutions to relax

The Financial Conduct Authority (FCA) and Prudential Regulatory Authority (PRA) recently outlined their proposals on how they will support the UK Government’s growth mission alongside their primary objectives. Amongst others,...more

New U.K. regulatory landscape: enforcement and supervision shift

This article examines the latest trends in U.K. regulatory enforcement and supervisory action and highlights the key takeaways for firms in 2025 and beyond. Over the past 18 months, the Financial Conduct Authority (FCA)...more

UK FCA proposals to publicise enforcement investigations: Unanswered questions remain

Last week, the UK Financial Conduct Authority (FCA) unveiled a 'Part 2' consultation paper detailing a revised version of its controversial proposals to publicly name firms under enforcement investigation. This development...more

D&I in FS: how to get a head-start on the FCA and PRA proposals

This is the last post in our series on the UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) proposals to introduce a new regulatory framework on diversity and inclusion (D&I) in the financial...more

UK FCA and PRA proposals for improving D&I: Senior Manager responsibility and oversight

The latest proposals for improving diversity and inclusion in the UK financial services sector, published by the Financial Conduct Authority and Prudential Regulation Authority, include changes that will impact Senior Manager...more

DI in FS - senior management responsibilities and oversight

The Financial Conduct Authority (FCA) and Prudential Regulation Authority’s (PRA) recent proposals demonstrate a divergence in approach when it comes to individual accountability and expectations of senior management in...more

UK Financial Conduct Authority proposes new rules and guidance on non-financial misconduct

The UK Financial Conduct Authority's consultation on diversity and inclusion (D&I) in financial services proposes new rules and guidance on identifying and taking action in relation to non-financial misconduct such as...more

D&I in FS: new rules and guidance on non-financial misconduct

The FCA is focused on reducing non-financial misconduct to enhance the reputation of the UK financial services sector. Spurred on by positive levels of engagement with its 2021 discussion paper, the FCA’s latest consultation...more

D&I in financial services: UK proposals for mandatory data reporting and public disclosure

Post six in our blog series on the UK Financial Conduct Authority and Prudential Regulation Authority proposals to improve diversity and inclusion (D&I) in UK financial services considers the D&I data firms would be required...more

FCA and PRA DI Proposals - Balancing data protection considerations against D&I reporting duties

The latest post in our blog series looking at the UK Financial Conduct Authority and Prudential Regulation Authority proposals to improve diversity and inclusion (D&I) in the financial services industry focusses on data...more

D&I disclosures: what D&I information will the UK regulators expect financial services firms to disclose?

The UK financial services regulators’ proposals for creating a new regulatory framework for diversity and inclusion (D&I) in financial services include proposals that in-scope firms report various aspects of their D&I data on...more

D&I in FS: Data protection and D&I reporting

The UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) are consulting on proposals to introduce a new financial services regulatory framework on diversity and inclusion (D&I) in the financial...more

Setting D&I targets: what the UK regulators expect from financial services firms

The UK financial services’ regulators have introduced new proposals on setting diversity and inclusion (D&I) targets by firms. These proposals aim to address underrepresentation of particular demographics within firms and the...more

What the UK regulators’ proposals mean for D&I strategies in financial services firms

The UK financial services regulators’ latest proposals for improving diversity and inclusion (D&I) include detailed proposals in respect of in-scope firms’ D&I strategies. The proposals, if implemented, would represent a...more

FCA and PRA consultation on D&I in financial services: which firms are captured and how

The extent to which firms are captured by the UK Financial Conduct Authority (FCA) and Prudential Regulation Authority’s (PRA) proposals to implement a new regime for diversity and inclusion (D&I) in financial services...more

A new regulatory framework for D&I in financial services: overarching themes and trends

The UK financial regulators’ proposals for creating a new regulatory framework for diversity and inclusion (D&I) in financial services are wide-ranging and detailed but have at their heart a few consistent themes. ...more

New blog series: deep dive into the FCA and PRA proposals for D&I in financial services

The UK financial services regulators are setting out to move the dial when it comes to diversity and inclusion (D&I) in the financial services sector. D&I strategies, targets and disclosures are all included in their new...more

FCA reveals common weaknesses in market abuse surveillance

The UK Financial Conduct Authority (FCA) has identified a number of common weaknesses in market abuse surveillance arrangements at small and medium sized firms. This briefing considers these and the action firms can take to...more

What the FCA’s Business Plan and Strategy really means: a brave new world

The UK Financial Conduct Authority’s (FCA) shift towards consumer protection is intensifying. At the same time, it is gearing up to become a more assertive regulator, intervening more frequently, following the example of its...more

What the FCA’s Business Plan and Strategy really means: financial crime

Financial crime has been a key area of focus for the UK Financial Conduct Authority (FCA) for a number of years, attracting some of the highest financial penalties, and this looks set to continue. With improvements to FCA...more

What the FCA’s Business Plan and Strategy really means: collection and use of data

The requirement for firms to collect and report quality data has never been more important, with the UK Financial Conduct Authority’s (FCA) outcome driven strategy looking to rely on firm data to realise its plans. In this...more

What the FCA’s Business Plan and Strategy really means: digital markets

The UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) recently published their Business Plans for 2022/23. The FCA also published a three-year strategy. But what does it really mean for firms? ...more

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