FCA Compliance News - May 2019

Here's a selection of news stories from the last month that touch upon the people dimension of regulatory compliance. Select the links or scroll down […]

FCA Compliance News - April 2019

Here are the top news stories from financial services compliance over the past month, selected to highlight FCA action, the people dimension of compliance, and […]

FCA Compliance News – March 2019

Here's a selection of news stories from financial services compliance over the last month. These illustrate important messages coming from the FCA but also the […]

FCA Compliance News - February 2019

This post aims to highlight items of news that touch upon the people dimension of regulatory compliance. For us, compliance is about people - their […]

FCA Compliance News - January 2019

With Brexit preparations continuing apace, the financial services regulators have been busy through December and January. Our mission is to bring you these items of […]

FCA Compliance News - December 2018

The end of year has proved to be very busy in financial sector compliance, with numerous publications concerning Brexit being issued on top of the […]

FCA Compliance News - November 2018

An overview of the most recent and upcoming changes to FCA guidelines for senior managers...

Your All-Important MiFID II Research Checks

The all-important MiFID II research checks start with the establishment of research payment accounts with the agreement of clients. If such accounts are required for […]

Have You Done Your Research on Research Costs?

MiFID II requires investment firms to demonstrate compliance with a wide range of new measures, building on the original MiFID from 2007.

How SM&CR Training Could Damage Staff Motivation, and 3 Ways to Prevent This Happening

"Are We All Senior Managers Now?" The focus of financial services firms of all sizes during 2018 will turn to the FCA and its intentions […]

Don't let MiFID II spoil the party

With just 2 weeks left to go until the MiFID II January deadline, financial firms are working flat out to ensure they're ready for the […]

5 things you should be doing to put customer needs first

The Financial Conduct Authority (FCA) has criticised Lloyds Bank Group and issued a £28m fine after hearing evidence about its incentive scheme, which saw staff […]

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