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FCA outlines its updated approach to alternative asset management supervision

United Kingdom - September 9 2022 In a “Dear CEO” letter sent in early August 2022, the FCA outlined the robust approach it will take to the supervision of firms in its alternative…

Karen Anderson, Jack Moore, Chris Ninan

City regulator confirms final rules for new UK Consumer Duty and gives firms more time to comply

United Kingdom - July 29 2022 The FCA has published the final rules and guidance and accompanying non-Handbook guidance relating to the new Consumer Duty (the Duty). While the…

Samantha Brown, Nish Dissanayake, Geoffrey Maddock

FCA confirms final rules for new Consumer Duty and gives firms more time to comply

United Kingdom - July 28 2022 The FCA has published the final rules and guidance and accompanying non-Handbook guidance relating to the new Consumer Duty (the Duty). While the…

Samantha Brown, Barnaby Hinnigan, Geoffrey Maddock, Alison Matthews, Grant Murtagh

A Spotlight on D&I in the Financial Services Sector

United Kingdom - March 28 2022 In the second of our Diversity and Inclusion Podcast Series, Christine Young, Hywel Jenkins and David Palmer discuss the key points for regulated…

David Palmer, Christine Young

Managing the risks of mobile messaging

USA - March 16 2022 Swingeing penalties levied by the US SEC and the CFTC on financial firms for failures to maintain and preserve written communications made through…

Karen Anderson, Chris Ninan, Andrew Procter, Jenny Stainsby