Tag Archives: Investment Regulation

Operational Resilience – are you ready for World War Z?

By Kyte Ekstrom | Brexit, Compliance, Covid 19, E Money, FCA Regulation, Financial Industries, FinTech, Insurance, Investment, Operational resilience, payments | 0 Comments

Our operational resilience survival guide is here! Simon Hill, Compliance Manager at FinTech Compliance, details the FCA’s expectations to help you comply with the new rules and guidance which come into force on the 31st of March 2022.  In December 2019 the FCA, Bank of England (BoE), and PRA (aka the Holy Trinity of regulation), […]

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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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