Nurturing Growth and Compliance: The FCA's Early and High Growth Oversight Scheme
The Financial Conduct Authority (FCA) understands the importance of providing enhanced supervisory attention to newly authorized firms,...
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GOVERNANCE RISK & COMPLIANCE SOLUTIONS
Simon Roberts
Jun 13, 20232 min read
The Potential Impact of the Financial Services and Markets Bill on the UK's Financial Markets
The Financial Services and Markets Bill, currently being scrutinized by Parliament, has the potential to revolutionize the UK's financial...
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Simon Roberts
Jun 13, 20232 min read
Leveraging Open Source Intelligence (OSINT) for Enhanced Customer Due Diligence
Introduction: In an era of increasing regulatory scrutiny and the need for robust customer due diligence (CDD) processes, financial...
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Simon Roberts
Jun 12, 20234 min read
MiCA Regulation: A New Era for Crypto-Asset Regulation in the European Union
Introduction: On 9 June 2023, the Markets in Crypto-Assets (MiCA) Regulation was officially published in the Official Journal of the...
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Simon Roberts
Jun 12, 20233 min read
Navigating the FCA's Call to "Do the Right Thing" in the Financial Services Industry
Introduction: In her inaugural speech as FCA Joint Executive Director of Enforcement and Market Oversight, Therese Chambers delivered a...
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Simon Roberts
Jun 9, 20234 min read
Embedding the FCA's Consumer Duty: A Guide for Boards and Senior Staff
Introduction: The Financial Conduct Authority's (FCA) Consumer Duty introduces a significant shift in the regulatory landscape,...
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Simon Roberts
Jun 9, 20233 min read
Navigating the New Cryptoasset Marketing Rules: Compliance and Implications
Introduction: Effective marketing plays a crucial role in the success of any business. However, recent changes in law and regulations...
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Simon Roberts
Jun 9, 20232 min read
Crafting Effective Change in Control (CiC) Applications: Key Considerations for Approval
Introduction: Change in Control (CiC) applications are pivotal in the financial industry, involving the transfer of ownership or control...
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Simon Roberts
Jun 8, 20233 min read
Assessing Responsibilities for Firms in the Distribution Chain under the Consumer Duty Framework
Introduction: The Financial Conduct Authority (FCA) has introduced the Consumer Duty, a framework designed to enhance consumer protection...
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Simon Roberts
Jun 7, 20232 min read
New Requirements by the UK Payment Systems Regulator Bolster Customer Protection Against APP Fraud
Introduction: In an effort to combat the rising threat of authorised push payment (APP) fraud, the UK Payment Systems Regulator (PSR) has...
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Simon Roberts
Jun 5, 20232 min read
Strengthening Consumer Protection: UK FCA Clarifies Ban on Incentives and Introduces Consumer Duty
In a significant effort to bolster consumer protection and promote fair practices in the financial industry, the UK Financial Conduct...
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Simon Roberts
Jun 4, 20232 min read
EBA : Regulating Crypto Asset Service Providers: Strengthening Anti-Money Laundering Measures
The world of finance is rapidly evolving, and with it comes new challenges and risks. One area that has gained significant attention in...
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Simon Roberts
May 31, 20232 min read
The Fight Against Money Laundering: The Creation of the European Anti-Money Laundering Authority
Introduction Money laundering poses a significant threat to the integrity of the global financial system, requiring robust measures to...
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Simon Roberts
May 30, 20232 min read
UK-EU Memorandum of Understanding on Financial Services : A Step Towards Clarity Post-Brexit
Introduction In a bid to provide much-needed clarity in the post-Brexit landscape, the UK government and the EU Commission have jointly...
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Simon Roberts
May 30, 20233 min read
Leveraging AI: Enhancing Fraud Detection and Prevention in Payments
Introduction In today's digital landscape, payment systems have become increasingly vulnerable to fraudulent activities. With the rise of...
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Simon Roberts
May 29, 20234 min read
FCA Review of Consumer Duty Fair Value Assessment Frameworks: Implications for Firms
Introduction The Financial Conduct Authority (FCA) recently conducted a review of Consumer Duty fair value assessment frameworks (FVFs)...
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Simon Roberts
May 29, 20233 min read
The EU's Introduction of MICA: Implications for Non-EU Crypto Businesses
Introduction In a world increasingly driven by digital innovation, cryptocurrencies have emerged as a transformative force in the...
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Simon Roberts
May 27, 20233 min read
FCA's Service Metrics for 2022/23 Q4: Progress Towards Targets and Commitment to Transparency
Introduction In its ongoing commitment to transparency and accountability, the Financial Conduct Authority (FCA) has recently published...
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Simon Roberts
May 25, 20233 min read
Empowering Retail Investors: The EU's Retail Investment Package
Introduction In a world where financial markets can often seem complex and inaccessible, empowering retail investors has become a...
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Simon Roberts
May 25, 20233 min read
FCA's Assertive Stance and Increased Scrutiny: Impacts on New Applicant Approvals
Introduction: The Financial Conduct Authority (FCA) plays a vital role in safeguarding consumers and maintaining the integrity of the...
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