LATEST REGULATORY INSIGHTS
A Change in Control Is More than Just a Standard Notification
July 12, 2021
The Financial Conduct Authority (“FCA”) recently released a Final Notice opposing the Change in Control (“CiC”) and therefore acquisition of Kimberly Forex UK Limited (“Kimberly Forex”) and the details within the FCA Final Notice were a good reminder that the CiC process...
read moreIndependent Regulatory Health Checks and Compliance Assurance review.
June 1, 2021
Financial services compliance is becoming increasingly more complex, and the regulatory landscape is continually changing and...
read moreThe new Investment Firm Prudential Regime is on its way in January 2022 and firms should start preparing now.
May 28, 2021
An important topic on the UK regulatory horizon is the implementation of the new Investment Firms...
read moreWhen is “Advice” not “Advice”? Almost never it would seem!
May 11, 2021
The FCA perimeter guidance (“PERG”) has long been a source of revenue for lawyers and consultants...
read moreClare and her team provided invaluable insight and experience from the first meeting. She guided us through a successful authorisation in a timeframe significantly quicker than the quoted guidelines, allowing us to begin executing our business plan faster than anticipated. JV, London, Institutional Brokerage