FCA Focus 2024
February 5, 2024
Financial Conduct Authority’s 2024 business plan. What will be their key areas of focus? The Financial Conduct Authority (FCA) has published its business plan for 2024, which very much continues in the same vein as...
Dear CEO Letter To Wealth Management and Stockbroking Firms
December 18, 2023
Background The Financial Conduct Authority (FCA) have published a ‘Dear CEO’ letter in November 2023 to all Wealth Management and Stockbroking firms highlighting the potential harms that those firms could possibly inflict upon markets and...
Dear CEO Letter to Principal Trading Firms (PTFs)
November 23, 2023
The Financial Conduct Authority (FCA) has sent a general letter to all CEOs of PTFs detailing what the regulator regards as the most important risks within the firms and what it views as the drivers...
Anti Money Laundering Regulations Update
October 17, 2023
Background The 2022 Money Laundering & Terrorist Financing (Amendment #2) Regulations (MLTFR) came into effect on 01/04/2023. Businesses subject to the MLTFRs are now required to perform checks of the register of overseas entities (ROE),...
Market Watch 69 – A focus on Market Abuse Monitoring For Small and Medium Sized Firms
May 24, 2022
On the 17th May 2022, the FCA published the 69th edition of their Market Watch newsletter. The emphasis this time being on market conduct and transaction reporting issues, with a particular focus on small and...