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How the new FCA Listing Rules have changed for closed-ended investment funds
Changes have simplified and streamlined the new rules.
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Thematic review of UK insurance urges firms to re-evaluate frameworks
Lack of progress in establishing the quality and value of insurance products has prompted FCA action – here are the top 10 takeouts.
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UK payments regulator consults on reduced cap for banks' fraud coverage
PSR also publishes high-value APP scams review and consultation.
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Crossing borders – top tips for navigating UK and US compliance
How to comply with compliance rules on both sides of the Atlantic without being penalised.
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FCA work in review August 26-30, 2024
A focus on insurance – and more criticism of how the regulator itself handles whistleblowing in our latest roundup of FCA activity.
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FCA data clarifies pitfalls for asset management authorizations
The UK regulator recently published a list of common errors it observed from asset management firms applying for authorization or variation of permission.
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Changes to the post-trade risk reduction services and the DTO
The FCA is making changes to notification and disclosure requirements for OTC derivatives.
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On the importance of keeping an open mind
When carrying out an investigation, it can be too easy to lose sight of the bare facts, says Carroll Barry-Walsh.