Regulator urges firms experiencing growth to consider findings and assess whether arrangements remain appropriate.
FCA
Our regular roundup of the latest news and developments from the FCA.
Two FCA consultation papers prepare for implementation of an equities CT in the UK and aim to improve accessibility and clarity of trade data.
Regulator says new rules will pave way for smarter, simpler, more proportionate transaction reporting requirements, while preserving ability to detect misconduct.
FOI shows authorizations fall sharply as Financial Services and Markets Bill targets faster determination times.
Our regular roundup of the latest news and developments from the FCA.
The FCA’s consultation CP26/23 will interest wholesale firms that do not directly serve retail clients but felt forced to change their business when the Consumer Duty was first introduced.
Hundreds of firms in the sector took part in the FCA review and shared details about their business models and risk identification and control systems.