- Regulation
- Technology
- Resources
Latest News
-
FCA strengthens safeguarding regime for payments and e-money firms
These changes are intended to improve safeguarding practices among payment firms, leading to better protection for consumers.
-
Client asset protection: Hong Kong and UK considerations
Both sets of regulations aim to mitigate the loss of client money and assets through segregation.
-
Responding effectively to your CASS audit
Pushing forward with remediation should now be a priority for CASS personnel.
-
DFSA announces proposed changes to client asset regime
Firms have just nine months to prepare for the new rules ahead of January 2026.
-
What firms can do to prepare for CASS 15
The FCA is aiming to remove ambiguity around safeguarding processes and better align them with the Client Asset Sourcebook.
-
CASS: New considerations on prudent segregation
Using prudent segregation, and what industry challenges lie ahead.
-
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.
-
FCA work in review September 24-30, 2024
Our at-a-glance guide to recent FCA activity.