Latest Articles

As we approach the first anniversary of the Consumer Duty, the FCA’s message has been clear – implementation of the Duty is not a ‘once and done’ exercise, rather firms need to be improving continuously. While you may feel positive...

In this month's summary of key compliance stories from around the globe, Martin Mitchell looks at some of the regulatory and compliance headlines, including; Carer and assistant to crypto supervillain sentenced to more than six years for money laundering, Political...

In November 2023, the UK FCA confirmed that it would be introducing various measures relating to sustainability disclosures, including a new set of labels for investment funds, as well as a new ‘Anti-Greenwashing’ (AGW) Rule. The AGW rule is the...

The Economic Crime and Corporate Transparency Act (ECCTA) received Royal Assent on 26th October 2023. A proportion of the Act, mainly that relating to Companies House, came into effect on 4th March 2024. In this article, Bruce Viney discusses what...

In this month's summary of key compliance stories from around the globe, Martin Mitchell looks at some of the regulatory and compliance headlines, including; Opposition mounts over FCA’s “name and shame” plans, FOS “debanking” complaints up 44%, BoE warns banks...

On 5th March 2024, the FCA issued a ‘Dear CEO’ letter to Annex 1 firms (i.e. firms that are supervised by the FCA for AML/CTF purposes only) which reiterated the importance of the ‘…fight against financial crime…’. It also sets...

In this month's summary of key compliance stories from around the globe, Martin Mitchell looks at some of the regulatory and compliance headlines, including; FCA sets out its priorities for 2024/25, FCA announces investigation into super-complaint re personal guarantees, US...

In this article, Peter Haines, Consumer Duty trainer and a Consumer Duty Champion with experience in implementing the Duty within a financial services organisation, discusses the FCA’s expectations for the Board report and the type of MI firms should be...

This quarter's Concerning Conduct, a summary of recent cases concerning culture and conduct, includes; Global minimum tax for multinational companies starts, Battle for talent to sell alternatives to the wealthy, Tui board backs delisting from London and shareholders agree, Fake...

In this month's summary of key compliance stories from around the globe, Martin Mitchell looks at some of the regulatory and compliance headlines, including; Gap insurance in the FCA’s sights under the Consumer Duty, UAE removed from FATF’s grey list,...

Almost every country in the world prohibits the payment of bribes to their own government officials, but the scale and ubiquity of bribery and corruption continue to worsen. Bruce Viney discusses the rise in bribery and corruption, some of the...

In this month's summary of key compliance stories from around the globe, Martin Mitchell looks at some of the regulatory and compliance headlines, including; FCA about to gather detail on non-financial misconduct., Australia’s ASIC cracking down on greenwashing, UK car...