Forget the recent smattering of Voluntary Requirements (VREQs), the Financial Conduct Authority’s (FCA) recent intervention into Euro Exchange Securities UK Limited (EES) represents one of the most decisive supervisory actions taken against
Author: James Borley, Director of Payment Services As noted in the Financial Conduct Authority’s (FCA’s) Regulatory Priorities Report for Payments operational resilience framework is now moving decisively beyond implementation planning and into active supervisory scrutiny. For Payment Institutions
The FCA has recently published the findings of its latest review of sanctions systems and controls across the financial services sector. While the regulator acknowledges that firms have made significant progress in strengthening sanctions
The FCA’s forthcoming cryptoasset regime under the Financial Services and Markets Act 2000 (FSMA) will significantly increase the conduct and governance expectations applying to firms operating within the UK digital assets sector.
Introduction: The Purpose and Power of Section 166 Under Section 166 of the Financial Services and Markets Act 2000, UK financial regulators are empowered to assign independent third parties to deeply investigate specific operational
Introduction: The Evolution of Section 166 Interventions Under Section 166 of the Financial Services and Markets Act 2000, UK regulators hold the statutory power to mandate independent, expert reviews of
The Regulatory Gateway for Financial Promotions is Here
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Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024
Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024
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