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FCA Takes Next Step Towards a UK Consumer Duty: An Update for Regulated Businesses

By Matt Hancock & Katharine Bond on December 31, 2021

Posted in FCA, Featured, Financial Regulation, GT Alert, Regulatory Compliance, UK

In December 2021, the UK Financial Conduct Authority (FCA) published a consultation to set a higher standard of consumer protection in retail financial markets, an endeavor which began in July…
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Principals in the Spotlight as UK’s FCA Consults on Changes to Appointed Representatives Regime

By Matt Hancock & Katharine Bond on December 13, 2021

Posted in Appointed Representatives Regime, FCA, Featured, Financial Regulation, GT Alert, Regulatory Compliance, UK, white collar

The Appointed Representatives Regime (ARR), a well-known and important feature of the UK regulatory landscape, enables certain businesses – Appointed Representatives (ARs) – to conduct regulated activities without having to…
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