Data Driven Compliance: Navigating the Failure to Prevent Fraud: Key Insights and Implications
10 For 10: Top Compliance Stories For the Week Ending July 19, 2025
Daily Compliance News: July 15, 2025, The Fighting Workplace Bullying Edition
Everything Compliance: Episode 153, The CW 25 Edition
Compliance into the Weeds: Global Anti-Corruption Leadership
Daily Compliance News: March 18, 2025, The Slack Channel Edition
Podcast — UK FinReg Focus Areas in 2025: Retail Markets
Fintech Focus Podcast | Sanctions Compliance: Regulators Set Their Sights on Fintechs
Sanctions Compliance: Regulators Set Their Sights on Fintechs
Fintech Focus Podcast | The UK Fintech Investment Landscape
The Standard Formula Podcast | Developments on the Horizon for the UK Change-in-Control Regulatory Regime
Brexit & Financial Services: Preparing for the End of the Transition Period
The enforcement action offers insight for global firms into the FCA’s approach under the financial promotions regime....more
In the Dear CEO letter (October 2025) the FCA set out their expectations of firms with regards early preparation. Although they referenced their understanding of the challenges firms may face by stating...more
Welcome to our Governance & Sustainability Roundup — Our regular briefing that gives a quick overview on what has happened recently in the world of governance and sustainability that may be of interest to your company, your...more
The UK Financial Conduct Authority (FCA) has published Handbook Notice No 137, confirming that it is delaying changes to the Collective Investment Schemes Sourcebook (COLL), and specifically to the concentration rule (COLL...more
Welcome to the FinReg Monthly Update, a regular bulletin highlighting the latest developments in UK, EU and U.S. financial services regulation....more
The UK Financial Conduct Authority (FCA) has published a statement following its November 2025 update on the bond consolidated tape provider (CTP) contract. It has now signed a contract with Etrading Software (ETS) to act as...more
The UK Financial Ombudsman Service (FOS) has published its Q3 2025/26 complaints data, revealing a notable decline in case volumes to 47,300 complaints, down from 68,400 cases in the same period in 2024/25. This includes a...more
In December 2025, the FCA published its final Policy Statement and guidance (Final Guidance) on the treatment of non-financial misconduct (NFM) under the Code of Conduct (COCON) and the Fit and Proper (FIT) regime, with...more
The UK Financial Conduct Authority has issued a Dear CEO Letter to claims management firms and law firms regarding motor finance complaints, specifically where more than one professional representative (PR) is appointed for...more
The UK Financial Conduct Authority (FCA) has published consultation paper CP26/5 on the evolution of its sustainability disclosure rules for listed companies, following the government's draft UK Sustainability Reporting...more
The Financial Services and Markets Act 2000 (Regulated Activities) (Providing Targeted Support) (Amendment) Order 2026 was laid before UK Parliament and published with an explanatory memorandum. The instrument, following the...more
The UK Financial Conduct Authority (FCA) has published a blog on its AI live testing service. The service is voluntary and open to firms that have developed AI proofs of concept and are active in UK financial markets, subject...more
As the significance of ESG ratings has grown materially with investors channelling more capital towards sustainable investments, the UK government is bringing providers of ESG ratings within the scope of financial services...more
New UK Securities Offering Regime Comes Into Force - On 19 January, the UK’s new regime for offers of securities, the Public Offers and Admissions to Trading Regulations 2024 (POATRs) and the UK Financial Conduct...more
The House of Commons Treasury Committee has published a letter (dated 21 January) from Nikhil Rathi, the Chief Executive of the UK Financial Conduct Authority (FCA), responding to the Committee's outstanding questions from...more
The House of Lords (Financial Services Regulation Committee) has announced the launch of an inquiry into the growth and proposed regulation of stablecoins in the UK. The Committee will examine the development of global and UK...more
The FCA’s launch of its inaugural Enforcement Watch newsletter provides fresh visibility into the regulator’s enforcement caseload, priorities and approach. Coupled with the High Court’s recent two-part judgment endorsing the...more
The Pension Schemes Bill continues to be considered by Committee in the House of Lords. Points of interest from the Minister of State (Baroness Sherlock) in debates on 22 January, 26 January and 3 February 2026 include the...more
The UK Financial Conduct Authority (FCA) has published its first Enforcement Watch newsletter, following the FCA's updated enforcement guide (ENFG) finalised in June 2025. The FCA proceeded with modest changes to its...more
The 12 February 2026 deadline for firms to respond to the FCA’s consultation papers (CPs) on the future UK regulatory regime for cryptoassets is fast approaching. The FCA issued the CPs on the future UK regulatory regime for...more
The FCA is consulting on significant changes to how listed companies in the UK report on sustainability matters. The consultation closes on 20 March 2026, with the final rules expected in Autumn 2026....more
The Committee believes that the financial services regulators are not doing enough to manage the risks presented by AI....more
Welcome to the Corporate Briefing, where we review the latest developments in UK corporate law that you need to know about. In this month’s issue we discuss...more
The UK Financial Conduct Authority (FCA) has published two separate updated webpages... The first updated webpage confirms an extension to the application deadline for those wishing to participate in the stablecoin sprint...more
The UK Financial Conduct Authority (FCA) has published a consultation on proposed rules and guidance for firms conducting regulated cryptoasset activities (CP26/4), together with a guidance consultation on the application of...more