FCA Compliance

We are delighted to have welcomed 5 new members of the UKGI compliance team over the last few months, Anthony McCloskey, Caroline Curran, Emma Sadler, Craig Service, and Robin Knowles.

The FCA has highlighted its biggest milestones and achievements over the last 12 months, including its introduction of the Consumer Duty.

The International Capital Market Association (ICMA) and the International Regulatory Strategy Group (IRSG) have launched a new voluntary code of conduct for ESG data providers and ratings in light of increased regulatory focus on greenwashing risks within the industry.

The FCA has recently proposed new rules to maintain reasonable access to cash for personal and business customers across the UK. This article looks at how firms can mitigate barriers that may prevent consumers from pursuing their financial objectives.

The PRA, FCA and Bank of England have issued a joint Consultation Paper setting out the proposed requirements to be established in terms of rules and accompanying expectations for critical third parties (CTPs).

The FCA has published new Rules and Guidance concerning sustainability disclosures which, although aimed at the investment sector, includes a specific Rule that applies to all firms.

The FCA has published its plans for how it will raise fees for 2024/25, which outline a consultation on the underlying principles of the fee system and policy changes to the way in which the FCA will raise fees.

UKGI MD, Nikki Bennett, last week delivered a speech as part of the Insurance Institute of Northern Ireland's Masterclass series.

The FCA has issued a press release and a report following a review of certain firms’ fraud controls and complaint handling.

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