FCA Handbook

Mid-sized private equity and credit houses confront December deadline to expand beyond climate or risk regulatory censure.

Regulated firms have just over six months to become compliant and update their systems and processes: compliance tips and best practice.

John Higgins and Maria Symeon share practical advice on documenting oversight, managing delegation, and evidencing challenge.

Parvez Khan questions whether mere compliance with FCA rules establishes a legal presumption of fairness in lender-borrower relationships.

Changes to guidance expand circumstances in which firms need to consider making a Principle 11 notification in relation to customer redress issues.

The new guidance provides a formal regulatory definition, centering on bullying, harassment, and violence.

The new disclosure framework for retail investment products replaces PRIIPs and aligns with the Consumer Duty,

Moving from soft culture to hard rules, the FCA explicitly categorizes serious NFM as a breach of regulatory conduct standards.