Tag: Financial Conduct Authority
Eventus on enhancing financial compliance through strong team collaboration
An innovative collaboration approach to financial regulation is being advocated by Eventus, a leading regulatory technology (RegTech) firm, in their latest 'Compliance in Focus' series.
Firms unprepared for FCA’s Consumer Duty deadline, warns Bovill
With the Financial Conduct Authority's (FCA's) Consumer Duty deadline just 50 days away, almost half of firms are unsure about the implementation timeline, a new Bovill survey indicates.
PIMFA advocates for a refresh of the UK’s retail investment market
PIMFA, a significant voice in the WealthTech industry, is urging the UK Government to leverage a 'generational' opportunity to invigorate the UK retail investment market. This call to action comes six months after the introduction of the significant Edinburgh Reforms.
The crucial role of comprehensive AML/CTF risk assessments in business success
In today's dynamic business environment, organisations are facing ever-increasing compliance regulations. As a result, business-wide anti-money laundering (AML) and counter-terrorism financing (CTF) risk assessments...
FCA urged to better regulate philanthropy advice
The Law Family Commission on Civil Society has called for the UK’s Financial Conduct Authority (FCA) to make philanthropy advice training mandatory for financial advisors.
The UK’s FCA discusses changes to companies listing in the UK
The UK’s Financial Conduct Authority has published a paper on potential reforms on how companies list in the UK, with the aim to attract more “high quality, growth companies and give investors greater opportunities.”
NatWest hit with first criminal charge pursued by FCA
National Westminster Bank (NatWest) has been fined £264m for three accounts of money laundering failures.
FCA signs 3-year deal for new search and discovery solution
The UK’s Financial Conduct Authority (FCA) has picked Aiimi Insight Engine to provide its new enterprise search and discovery solution.
FCA eyes investment classifications in bid to support ESG
The UK’s Financial Conduct Authority (FCA) has released a discussion paper to classify and label investment products to help investors better manage their sustainability.
FCA receives over 2,700 financial misconduct complaints over 2020/21
The Financial Conduct Authority (FCA) has revealed it received a total of 2,754 allegations of financial misconduct over the 2020/21 financial year.
