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IFPR
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FCA issues call to arms for asset managers and alternatives firms
Dear CEO Letter outlines the UK regulator’s focus for next year and helps to prioritize compliance to-do list.
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FCA week in review November 27 – December 1 2023
This week’s roundup includes tackling greenwashing, advice on setting aside capital to cover costs, and news of more ‘carelessness and incompetence’ over BSPS advice.
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Dealers in principal under the regulatory spotlight
High level summary of the FCA’s supervisory priorities vis-a-vis Principal Trading Firms – key takeaways and top tips.
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FCA puts wholesale brokers on notice
Risk management and compliance practices highlighted as areas of concern against the backdrop of sustained volatility.
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FCA raises concerns about CFD firms
According to the FCA a “significant minority” of firms are not adhering to their compliance obligations and are exposing consumers to harm.