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NEWSLETTER: If you weren’t feeling busy enough already, the FCA has given us more bedtime reading with its Financial Crime consultation paper. Amongst the proposals are reporting obligations for sanctions breaches, guidance on governance, transaction monitoring systems, and reminders on balancing all this against the Consumer Duty.
We’ll continue to track developments closely as the June deadline for feedback approaches. In the meantime, our recent webinar on oversight of financial crime tech is well worth a watch.
Meanwhile, as we digest the new consultation paper on plans to extend the Sustainability Disclosure Regime to portfolio managers, it’s only a month until the anti-greenwashing deadline hits all regulated firms. In February we shared some pointers on what firms should do ahead of the deadline. Guidance from the FCA has now been finalised – so it’s time to double check you’re ready.
Finally, following on from last month’s dive into the FCA business plan, we take a closer look at wholesale markets and where firms need to focus their attention over the coming months. With market abuse remaining a major item on the regulator’s agenda, we also examine what effective surveillance, risk assessment and control measures look like.
Rebecca Thorpe
Chief Executive Officer
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