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| 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…

| UK & Europe

CASS: New considerations on prudent segregation

It’s been quiet on the prudent segregation front over the last couple of years, but recently discussions have flared up in the CASS world with the topic being discussed in…

| UK & Europe

FCA’s ongoing service review leaves firms with further work to do

The FCA has published the long-awaited findings from its review of financial advisers’ ongoing services. While most ongoing suitability reviews were delivered as promised, the regulator signalled concerns with reviews…

| UK & Europe

Spotlight on FCA’s 2025 strategy for asset management and alternatives

The FCA’s letter to CEOs of asset managers and alternative firms underscores the regulator’s unwavering focus on market integrity, consumer outcomes, and financial crime for 2025. The letter highlights the…

| UK & Europe

UK Newsletter | February 2025

NEWSLETTER: We’re only into the second month of the year and the FCA is already roaring into action with Dear CEO letters, AML surveys, data requests, and transaction reporting fines.…

| UK & Europe

Fail to prepare, prepare to fail? Riding the wave of FCA data requests

The FCA’s adoption of “data-led” supervision has seen a deluge of data requests hit firm inboxes over the past few years. And that trend only looks set to continue: wealth…
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