This 5 Trends piece covers non-financial misconduct, the Senior Managers and Certification Regime, FCA investigations and Upper Tribunal proceedings, motor finance, and FCA Sustainability Disclosure Requirements.
Continue Reading 5 Trends to Watch: 2024 UK Financial Services Regulation
The UK’s Financial Conduct Authority (FCA) released a Discussion Paper (DP23/2: Updating and improving the UK regime for asset management) in February 2023 which recognises that, as a consequence
Continue Reading Updating and Improving the UK Asset Management Regime: An FCA Discussion Paper
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![fpo-feature-3[1]](https://www.gtlaw-financialservicesobserver.com/files/2021/12/fpo-feature-31.jpg)
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
Unexplained Wealth Orders (UWOs) extend the powers available to UK law enforcement authorities under the Proceeds of Crime Act 2002 (POCA), enabling investigators to ask people who are holding assets,
Continue Reading Prove It or Lose It! Parts I and II: Unexplained Wealth Orders and Civil Recovery Orders in the United Kingdom