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March Regulation Update

By Kyte Ekstrom | AML, Brexit, Crypto-Assests, E Money, FCA Regulation, FinTech, Investment Advisor, Investment Manager, payments | 0 Comments

GENERAL REGULATION FSB publishes report: FinTech and Market Structure in the COVID-19 Pandemic – Implications for Financial Stability The Financial Stability Board (FSB) has published a report on the financial stability impact of the COVID-19 pandemic on FinTech and market structure. The main finding of the report is that the pandemic has accelerated the trend […]

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Understanding the New Investment Prudential Regime – K-Factors & Capital Calculations

By Kyte Ekstrom | Compliance, FCA Regulation, FinTech, Investment, Investment Advisor, Investment Funds, Investment Manager | 0 Comments

The new regime has thrown a spanner in the works of all investment firms regulated by the FCA as it brings about BIG changes. The new requirements, which came into force on the 1st January 2022, seek to capture the potential harm posed by firms to their clients and the markets in which they operate. […]

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December Monthly Regulation Update

By Kyte Ekstrom | Agent Relationship, AML, Appointed Agent, Appointed Representative, E Money, FCA Regulation, Financial Promotions, FinTech, Investment, Investment Advisor, Investment Funds, Investment Manager, payments, Pensions, Regulatory Hosting, Umbrella Services | 0 Comments

December Headlines General Regulation– HM Treasury publishes Consultation Paper – Financial Promotion Exemptions– House of Commons Publishes Letter – Future of the UK and EU AML/CFT Regimes– FCA Publishes Consultation Paper (CP21/34)- Improving the Appointed Representatives Regime Payment Services, E-Money & Open Banking– FCA publishes Policy Statement (PS21/19) – Strong Customer Authentication– Transparency International UK publishes […]

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To AR or NOT to AR, that is the Question…

By Simon Hill | Agent Relationship, Appointed Agent, Appointed Representative, Compliance, Insurance, Insurance Broker, Investment, Investment Advisor, Investment Manager, Regulatory Hosting, Umbrella Services | 0 Comments

As the new year draws ever closer, and the FCA prepares to usher in the new era of the Investment Firms Prudential Regime (IFPR) – which brings with it increased capital requirements and a more onerous approach to risk management – start-up firms with ambitions of carrying on regulated activities may already be re-thinking the […]

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Tough on Greenwashing: FCA Airs Out New ESG Guidelines for Investment Funds

By admin | ESG, ESG, Investment, Investment Funds, Investment Manager, Sustainable Investing | 0 Comments

The FCA have issued a Dear AFM Chair letter on improving quality and clarity relating to authorised ESG and sustainable investment funds. The letter details a new set of guidelines for investment funds with the aim of boosting trust in the market to ensure that fair value is provided to consumers and to help AFMs comply with […]

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May Monthly Regulatory Update

By Kyte Ekstrom | Brexit, Compliance, E Money, FCA Regulation, Financial Industries, Financial Promotions, FinTech, Investment, Investment Advisor, Investment Manager, News, payments, Pensions, regtech | 0 Comments

FCA Publishes Dear CEO Letter to E-money Firms on FSCS Protection The FCA has published a Dear CEO letter to e-money firms asking them to write to their customers to make clear how their money is protected. Firms must make it clear if the Financial Services Compensation Scheme (FSCS) does not apply. The FCA is concerned […]

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Does the Kalifa Review of UK FinTech go far enough?

By admin | Brexit, Compliance, Consumer Credit, Credit Brokers, Credit Lenders, E Money, FCA Regulation, Financial Industries, FinTech, Insurance, Investment, Investment Advisor, Investment Manager, News, payments, regtech | 0 Comments

FinTech is no longer a niche within financial services, nor is it a subsector. In fact, it is a core asset for Global Britain. This was the message from Ron Kalifa OBE, author of the Kalifa Review of UK Fintech, received with much praise by the industry. The independent Treasury review published on February 26th is […]

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January Monthly Regulatory Highlights

By Kyte Ekstrom | AML, Brexit, communications, Compliance, Consumer Credit, Credit Brokers, Credit Lenders, E Money, FCA Regulation, FinTech, Insurance, Investment, Investment Advisor, Investment Manager, News, Uncategorized | 0 Comments

Don’t have time, or the will, to trawl through endless websites reading long articles about financial news and regulation. We’ve got you covered with our Monthly Regulatory Highlights – snippets of the past months regulatory news and updates (along with links to corresponding webpages and press-releases) – saving you time and making it easy for […]

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FCA Statement: Review Your Firms Regulatory Permissions

By Kyte Ekstrom | Compliance, Consumer Credit, Credit Brokers, Credit Lenders, E Money, FCA Regulation, Financial Industries, FinTech, Insurance, Investment, Investment Advisor, Investment Manager | 0 Comments

The mighty powers of the FCA are about to become even move vigilant! The Financial Services Bill 2019-2021 – which is currently making its way through parliament – means that the FCA will be able to act more quickly when they consider that firms are no longer carrying out regulated activities. The statement published on […]

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Post Brexit compliance requirements for UK Investment Managers and Advisors

By Kyte Ekstrom | Brexit, Compliance, FCA Regulation, Financial Industries, FinTech, Investment, Investment Advisor, Investment Manager, News | 0 Comments

If you are unclear on the implications of the Withdrawal Agreement and how it will affect your business, you are not alone! The vague, obscure definitions, effectively mean a “hard Brexit” for financial services. The only decisive action agreed in the Joint Declaration states that the UK and EU will agree a framework for regulatory […]

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