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Experts unplugged: FCA non-financial misconduct survey
This series of articles is based on an extended dialogue between compliance and surveillance veterans Emily Wright and Rob Mason.
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How wealth managers can avoid misconduct and protect consumers
A year on from the FCA's Dear CEO "warning shot" to wealth managers on consumer duty and financial crime, we look at how firms can meet these revised expectations.
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XLOD London 2024: Regulator insights on the future of risk management and controls
This panel discussion featured experts from the National Futures Association and Dutch financial markets authority AFM.
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FCA work in review: November 19-29, 2024
Our at-a-glance guide to recent FCA activity.
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Consultation provides insights into FCA's future crypto regulation regime
The FCA has gathered views from stakeholders on approaches to crypto regulation. We summariz e some key takeaways.
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Three out of four UK financial services firms now using AI
Key takeaways from the Bank of England and the FCA'S latest survey of AI in UK financial services.
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Macquarie Bank fined for inadequate risk management practices
A trader was able to circumvent the bank’s controls in order to hide his losses for almost two years.
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Name and shame 2.0: FCA seeks further views
The regulator has shared further clarity on name and shame plans with the caveat – "if the changes go ahead." We ask stakeholders for their initial thoughts.