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| UK & Europe

Consultation paper defines capital for UK investment firms

The FCA has published a consultation paper on the definition of capital for investment firms, otherwise known as CP25/10. The paper aims to simplify the existing UK Capital Requirements Regulation…

| UK & Europe

UK Newsletter | April 2025

NEWSLETTER: The FCA has released its first review of complaints since the inception of the Consumer Duty, homing in on the effectiveness of firms’ governance, management information, and root cause…

| UK & Europe

Responding effectively to your CASS audit

The CASS audit busy season has ended for many firms with 31 December year ends. For CASS personnel, pushing forward with remediation should now be a priority, particularly where a…

| UK & Europe

AIFMD framework revamp aims to boost fund growth

The FCA has proposed a significant overhaul of the AIFMD framework in the hopes of simplifying standards and boosting growth for medium sized funds. It should prove easier for firms…

| UK & Europe

Consumer Duty complaints review offers food for thought on governance, MI, and reporting practices

The FCA’s first review of complaints since the Consumer Duty has cast doubt over the effectiveness of firms’ governance, management information, and root cause analysis. While the regulator identified some…

| UK & Europe

Navigating the stepping stones of SDR

It has almost been a year since the first set of requirements of the Sustainability Disclosure Requirements (SDR) and Investment Labels regime came into force. At this point in the…

| UK & Europe

Why compliance monitoring matters for Payments and E-Money firms

The payments and e-money sector has evolved fast and the FCA has been working hard to keep up. Their latest portfolio letter makes it crystal clear – firms need to…

| UK & Europe

Streamlining SMCR compliance: Enhancing fitness and propriety

FCA-regulated firms have embraced the Senior Managers and Certification Regime, or SMCR, for several years. With non-financial misconduct under the FCA’s spotlight, businesses must keep up with the fitness and…

| UK & Europe

UK Newsletter | March 2025

NEWSLETTER: Whether it’s prudent segregation, CASS 15, or changes being announced by global regulators such as the DFSA, there has been plenty of activity in the client assets and safeguarding space recently. We…

| UK & Europe

Time to review your approach as GFSC kicks off conflicts thematic review

The Guernsey Financial Services Commission (GFSC) has kick-started their conflict of interest thematic review to a selection of fiduciary and investment licensees. Focusing on a variety of areas – firms…

| UK & Europe

CASS 15: What can firms do to prepare?

Everyone is waiting with bated breath for chapter 15 of the FCA’s safeguarding rules, due to be published in the first half of 2025. With firms being given a short…

| Dubai

DFSA announces proposed changes to client asset regime

The DFSA’s consultation paper on the client asset regime, first issued last August, has received further amendments last week. Prompted by the regulator’s focus to protect users of the financial…
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