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...

Independent 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 evolving. This can be seen through the regulatory fines imposed on firms both large and small, as well as...

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...

Effecta is pleased to announce we are now open in Dubai, with offices in the DIFC.

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