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| UK & Europe

Business model review: Three asks for smaller asset managers from the FCA

Do you find it challenging to understand the expectations from the regulators as a new or small asset manager in the UK? The UK regulations, which are mostly principle-based and…

| UK & Europe

Regulatory due diligence: What’s next for consolidators?

The past decade has seen the wealth management and financial advice sectors undergo substantial change with the continuing merger and acquisition activity, consolidating small and regional firms into larger entities.…

| UK & Europe

Three steps to evaluate your controls ahead of ‘Failure to Prevent Fraud’ deadline

The corporate offence of Failure to Prevent Fraud, set out in the Economic Crime and Corporate Transparency Act 2023, comes into effect on 1st September 2025. This means that “large”…

| UK & Europe

How payments firms can build compliance monitoring that delivers

As the FCA ramps up its expectations in the payments and e-money space, a compliance monitoring programme (CMP) isn’t just for show. It’s how firms stay ahead of regulatory expectations,…

| 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…
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