1. Non-financial misconduct – FCA guidance expected

It is anticipated that in 2023 the Financial Conduct Authority (FCA) will provide further guidance on the increasingly uncertain question of what kinds

Continue Reading 5 Trends to Watch: 2023 UK Contentious Financial Regulation

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

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
Continue Reading Principals in the Spotlight as UK’s FCA Consults on Changes to Appointed Representatives Regime