Viewing post categorized under: Investment

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 […]

Read More
September Monthly Regulatory Update

By Kyte Ekstrom | Compliance, Crypto-Assests, FCA Regulation, FinTech, Investment, Investment Advisor, Investment Funds, News, Sustainable Investing, Uncategorized, Variation of Permission | 0 Comments

General TheCityUK Publishes Report Setting out Regulatory Strategy – Making the UK the Leading Global Financial Centre The report outlines an international strategy for the UK-based financial and related professional services industry. The aim is to make the UK the world’s leading international financial centre within five years. TheCityUK’s strategy takes a three-pronged approach, focusing on: […]

Read More
June Monthly Regulatory Update

By Kyte Ekstrom | Brexit, Compliance, Digital, FCA Regulation, Financial Industries, Financial Promotions, FinTech, Insurance, Investment, News, Pensions, regtech | 0 Comments

HM Treasury Consultation Response: Next Steps for Regulatory Framework on Approval of Financial Promotions HM Treasury has published a response to the July 2020 consultation on the regulatory framework for approval of financial promotions. The original consultation proposed to introduce a new FCA-operated regulatory ‘gateway’ through which authorised firms would need to pass before they […]

Read More
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 […]

Read More
Are you compliance happy?

By Kyte Ekstrom | Compliance, Compliance Retainer Service, Consumer Credit, Crypto-Assests, E Money, FinTech, Insurance, Investment, payments | 0 Comments

Is your current compliance solution cutting the mustard? Show us the scope and cost of your current compliance retainer and we will endeavour to match or beat what you’re currently paying AND enhance the scope. There’s an offer you can’t refuse! On the fence? Then consider this… Are you a square peg in a round […]

Read More
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 […]

Read More
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 […]

Read More
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 […]

Read More
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 […]

Read More

Archives
Categories