News & Analysis as of May 30, 2025

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FCA publishes consultation on streamlining data collection requirements

A&O Shearman on 4/25/2025

The UK Financial Conduct Authority (FCA) has published a consultation paper (CP) proposing the removal of reporting and notification requirements as part of its strategy to prevent unnecessary collection of data to reduce...more

Off-Channel Communications: How Financial Services Organizations Can Address Regulators’ Latest Target

J.S. Held on 3/13/2023

As a number of recent headlines demonstrate, the U.S. Securities and Exchange Commission (SEC) and other regulators have fined and penalized employers and employees in the financial services industry for non-compliance with...more

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Regulatory Requirements › Data Collection › Investment Adviser

FCA publishes consultation on streamlining data collection requirements

Off-Channel Communications: How Financial Services Organizations Can Address Regulators’ Latest Target

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