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...
EU Firms using the Temporary Permission Regime should look out for their Landing Slot
March 19, 2021
Background As firms will no doubt now be aware, the United Kingdom (“UK”) voted to leave the European Union (“EU”) at 11:00 pm on the 31 December 2020 (“Brexit”) and the UK is now classified...