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The latest regulatory update – May 2022
07, June
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A summary of consumer duty elements
11, May
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The latest regulatory update – April 2022
03, May
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The latest regulatory update – March 2022
02, April
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The latest regulatory update – February 2022
08, March
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The latest regulatory update – January 2022
01, February
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The latest regulatory update – December 2021
04, January
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The latest regulatory update – November 2021
03, December
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Cryptoassets and global regulation trends
15, November
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The latest regulatory update – October 2021
01, November
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Some Considerations for Hybrid Working
13, October
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The latest regulatory update – September 2021
01, October
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The latest regulatory update – August 2021
06, September
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The latest regulatory update – July 2021
03, August
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The latest regulatory update – June 2021
06, July
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The FCA’s second consultation paper on the new IFPR (MIFIDPRU)
11, June
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The latest regulatory update – May 2021
07, June
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The new Consumer Duty to be required by financial services firms
19, May
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The latest regulatory update – April 2021
06, May
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The FCA issues second consultation paper on the new IFPR
29, April
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The latest regulatory update – March 2021
06, April
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Supervisory flexibility: RTS 27 reports & depreciation notification
23, March
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The latest regulatory update – February 2021
04, March
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Covid-19 Vaccination Data and GDPR Implications
01, March
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The latest regulatory update – January 2021
08, February
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Environmental Social and Governance (ESG)
27, January
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The challenges for compliance in 2021
21, January
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The latest regulatory update – December 2020
07, January
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Data Protection & the UK and EU Trade and Cooperation Agreement
04, January
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The latest regulatory update – November 2020
03, December
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General Data Protection Regulation (GDPR) update
30, November
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The FCA Directory – deadline 31st March
16, November
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The latest regulatory update – October 2020
02, November
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Market Abuse in a time of Coronavirus
14, October
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The latest regulatory update – September 2020
09, October
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The new prudential regime for MiFID investment firms
14, September
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The latest regulatory update – August 2020
07, September
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Is your Management Information good enough?
28, August
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REP008: Conduct Rules reporting for solo-regulated firms
20, August
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The latest regulatory update – July 2020
05, August
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CEO Letter: Inappropriate use of title transfer collateral arrangements
29, July
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Conduct Risk Framework – what the FCA expects
23, July
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The Latest Regulatory Update – June 2020
06, July
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FCA Assessing adequate financial resources
29, June
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Regulatory references & the Senior Managers & Certification Regime
18, June
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ESMA guidance on the compliance function under MiFiD ii
11, June
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Expectations of Market Conduct during the Coronavirus Crisis
04, June
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Building a workable Risk Register – Technology (Part 3)
29, May
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This month’s Latest regulatory developments
26, May
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What Good Governance looks like in regulated firms
18, May
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Building a workable risk register – Control Framework (Part 2)
12, May
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Firms handling of complaints during the coronavirus
05, May
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Covid-19: new FCA client assets webpage
01, May
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Building a workable Risk Register (Part 1)
29, April
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Latest on Operational Risk and Resilience
19, April
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FCA expectations for solo-regulated firms applying SMCR during Covid-19
08, April
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MLD5 and the key changes that will impact FS firms
10, December
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Impact tolerances for important business services
06, December
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Suspicious Activity Reports Annual Report 2019
08, November
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FCA speech: Regulation in a changing world
22, October
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The fight against skimmers and scammers: the FCA on Fraud
06, September
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Andrew Tinney’s case: a key message in relation to conduct
19, August
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FCA Responds to ESMA Opinion on FCA’s Final Rules for Retail CFDs
04, July
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Permanent Restrictions on the Sale of CFDs Retail Consumers
02, July
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Money Laundering Risks in Capital Markets
12, June
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General Data Policy Regulation one year on
31, May
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The FCA’s 5 Conduct Questions Programme
29, May
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Financial Conduct Authority on the Duty of Care
24, April
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FCA Report on Payment for Order Flow
24, April
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Updates from the Financial Conduct Authority
23, April
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The Future of Financial Conduct Regulation
23, April
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EU Parliament Approves New EU-Wide Rules to Protect Whistleblowers
18, April
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FCA “Dear CEO” Letter for Wholesale Firms
18, April
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Financial Conduct Authority Business plan 2019-2020
17, April
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FCA’s Second Largest Fine for Anti Money Laundering Failings
10, April
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FCA Introduces Permanent Ban on Binary Options to Retail Consumers
29, March
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Goldman Sachs Fined £34.3 million for Transaction Reporting Failures
29, March
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OECD Report on Implementation of the Anti-Bribery Convention
22, March
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Financial Conduct Authority Updates on SM&CR
11, March
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The FCA Increases the Award Limit for the Financial Ombudsman Service
08, March
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Agree to disagree: FCA versus Lewis Alexander Limited
21, February
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Communication Rules for Payment Services and E-Money Sectors
05, February
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FCA Ordered to Pay Compensation to Banned Chief Executive
31, January
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National Crime Agency publish SARs Annual Report
28, January
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FCA Consultation on Cryptoassets and the Regulatory Perimeter
24, January
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The FCA Issues £76m in Fines and a Ban from Regulated Financial Services
17, January
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Diversity in Financial Services: FCA publishes speech
20, December
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Financial Conduct Authority publishes Market Watch 58
18, December
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Finalised Changes to the FCA Financial Crime Guide
13, December
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FATF Reviews the UK’s Anti-Money Laundering Measures
10, December
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FCA Proposes Permanent Measures for Retail CFDs and Binary Options
07, December
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Former CEO of Sonali Bank (UK) Ltd Fined for AML Failings
04, December
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Objectivus are delighted to support the Plogolution!
11, November
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ESMA’s Notice on the Product Intervention Renewal Decision
31, October
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ESMA Report on Initial Coin Offerings and Crypto-Assets
20, October
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FCA’s Analysis of Firms’ Data on Financial Crime
17, October
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FCA confirms greater access for SMEs to Financial Ombudsman Service
17, October
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SMCR – FCA Proposed Guidance on Statements of Responsibilities
11, October
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FCA Published 2 consultation papers with proposed changes
10, October
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FCA Review on ML & Terrorist Financing in the E-Money Sector
03, October
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FCA Fines Tesco Bank £16.4m for Failures in 2016 Cyber Attack
02, October
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ESMA to Extends Restrictions on Retail CFDs
28, September
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Treasury Committee Report Supports Regulation of Crypto-Assets
20, September
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FCA Statement Following ESMA’s Action on CFDs
01, August
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FCA Is Seeking Input on PRIIPs Legislation
26, July
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FCA Reveals Urban-Rural Differences in How Consumers Experience FS
20, June
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“Dear CEO” Letter to Banks on Crypto-Asset Clients and Financial Crime
11, June
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FCA Fines and Imposes a Restriction on Canara Bank for AML Failings
07, June
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ICO Consults on Increased Powers under Data Protection Reform
07, June
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ESMA Publishes Q&As: Temporary Product Intervention Measures
01, June
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ESMA Adopts Final Product Intervention Measures on CFDs
01, June
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Data Protection Changes: email fatigue
24, May
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European Parliament Adopts Fifth Anti-Money Laundering Directive
20, April
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FCA Statement on Cryptocurrency Derivatives Firms
06, April
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FCA Consultation on the Financial Crime Guide for Firms
03, April
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ESMA Agrees to Prohibit Binary Options and Restrict CFDs
27, March
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Women in Finance: Still a Long Way to Go
23, March
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FCA Paper on Transforming Culture in Financial Services
15, March
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Home Office Guidance on Sharing Information in the Regulated Sector
05, March
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Committee of MPs to Consider Digital Currencies and Blockchain
02, March
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FCA Dear CEO Letter on Quality of Prudential Regulatory Returns
20, February
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Joint Update on GDPR from the FCA and the ICO
13, February
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The General Data Protection Regulation: What you must do now
31, January
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FCA Statement on Communications in Relation to PRIIPs
29, January
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FCA Fines Broker for Inadequate Post-Trade Systems and Controls
25, January
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ESMA Consults on Potential CFD and Binary Options Measures
18, January
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FCA Dear CEO Letter to providers and distributors of CFD products
17, January
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Consultation Papers: Transitioning Firms & Individuals to SMCR
18, December
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Cryptocurrency Operators and Operational Risk
20, November
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Equifax FCA Investigation over Data Breach Acts as a Warning
14, November
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Private Sector Information Sharing: the FATF Guidance
09, November
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ICO on Website Privacy Notices Being Vague and Inadequate
06, November
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What lessons can be learned from the Merrill Lynch failure?
31, October
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The New Sanctions and Anti-Money Laundering Bill
25, October
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FCA Fines Merrill Lynch £34.5m for Failing to Report Transactions
24, October
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MiFID II/MiFIR Rules Require Passport Data
23, October
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Sensible and Proportionate Approaches to SMCR and MiFID II
10, October
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New rules for UK banks to cope with fight against cybercrime
29, September
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Implementation of the Revised Payment Services Directive (PSD2)
25, September
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HMRC Guidance on Failing to Prevent the Facilitation of Tax Evasion
08, September
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New technologies and anti-money laundering
08, August
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Extending the SMCR to FCA only regulated firms
04, August
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Just how important is AML/CTF Compliance?
25, July
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FCA releases report concerning plans to tackle money laundering
24, July
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An update on Brexit and the implications for Financial Services
14, July
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FCA Proposes Rule Change in Pursuit of Aramco’s $2 Trillion Float
14, July
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FCA has Finalised Guidance on the treatment of PEPs
07, July
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A common approach to the implementation of KID Regulation
07, July
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FCA publishes MiFID II Policy Statement Summarising Feedback Received
05, July
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Is this a temporary stay of execution for CFD firms?
30, June
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The Queen’s Speech will interest those in Financial Services
28, June
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The Money Laundering Regulations 2017: a risk-based approach
27, June
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Consultation opened on 4MLD & Fund Transfer Regulation Implementation
13, June
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A look at the six leading principles of the FX Global Code
30, May
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FCA publishes first set of data under new complaints rules
02, May
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The FCA and the next phase of Project Innovate
17, April
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ESMA Question and Answer Updates on How to Apply AIFMD and UCITS
10, April
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ESMA issues a consultation paper on a portion of MAR
04, April
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ESMA publishes updated Q&A on CFDS and other speculative products
03, April
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The UK Triggers Article 50: formal notice of intention to leave EU
29, March
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Complete FX global code of conduct to be released on 25 May 2017
27, March
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Proposed revisions to JMLSG Part 1: March 2017
23, March
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The FCA’s view on the use of dealing commission
05, March
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FCA addresses expectations of providers and brokers on CFD
26, January
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Brexit Impact on UK Financial Services Industry
01, July
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Public Hearing on Virtual Currencies: need for regulation
27, January
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Increased regulatory expectations represent AML compliance challenge
24, December
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Market abuse – new trading technologies & market manipulation
20, November
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Delays to MIFID II implementation: IT departments don’t have time
11, November
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MiFID II – Implications for Commodity Firms
23, October
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MIFID II – Timeline. What are the most important issues?
22, October
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Proposed Changes to the Senior Managers and Certification Regime
21, October
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National Risk Assessment of Money Laundering and Terrorist Financing
16, October
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Best Execution – The 10 Point Plan (MiFID II – Jan 2017)
29, September
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Disruption in the Finance Industry – rapid technological innovation
18, September
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Disruptive Innovation in Financial Markets
18, September
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