The 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 Prudential Regime (“IFPR”). The new regime is set to come into force on 1 January 2022 and as this...
When 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 alike with many hours spent on the Regulated Activities Order (“RAO”) and understanding the scope of what’s in and...
Effecta Regulatory Newsletter no 1. 2021
May 7, 2021
Welcome to the Effecta Compliance regulatory newsletter. In the ever changing regulatory landscape, it is key that firms keep up to date to with latest compliance developments and ensure relevant compliance changes are considered internally...