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News and Views

How the new Consumer Duty regulations affects regulatory hosting firms who do not service retail clients

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abstract shot of building melting

Compliance 6 October 2022

FCA confirms new guidance on the trading venue perimeter

Posted on 6 October 2022
Compliance 5 October 2022

Chancellor Kwasi Kwarteng announces changes to business

Posted on 5 October 2022
TWEET by @lavenpartners

The #SVBank debacle seems to be under control notably in the UK. Credit rating was just above investment grade prior to its collapse. Hard to gauge when to change bank! Should all corporates have two bank accounts ? That’s what was common for brokers post 2008.
12:01 - 14 March 2023
Compliance 4 October 2022

FCA Financial Resilience Survey

Posted on 4 October 2022
FCA to regulate qualifying crypto assets – comparison with EU MiCA regime

Posted on 22 September 2022
New prime minister Liz Truss’s reported plans to merge UK financial regulators

Posted on 21 September 2022
Regulatory Hosting 1 September 2022

FCA confirms new rules to improve the AR regime

Posted on 1 September 2022
Compliance 1 September 2022

FCA Issues Alternative Supervisory Strategy Letter

Posted on 1 September 2022
Financial Services and Markets Bill 2022

Posted on 31 August 2022
Compliance 18 August 2022

The FCA has outlined its new Consumer Duty proposals aimed at improving how regulated firms serve consumers

Posted on 18 August 2022
Compliance 17 August 2022

New FCA rules set to strengthen financial promotion rules for high-risk investments

Posted on 17 August 2022
Regulatory Hosting 2 August 2022

The FCA target on Appointed Representatives (‘ARs’) see vast number withdraw

Posted on 2 August 2022
Compliance 1 August 2022

Operational Resilience: Discussion paper outlines proposed measures to supervise critical third parties

Posted on 1 August 2022
Compliance 21 July 2022

FCA published Feedback Statement on ESG integration in UK Capital Markets

Posted on 21 July 2022
Compliance 20 July 2022

Regulating Crypto, the FCA’s Tough Stance on 5MLD Applications

Posted on 20 July 2022
Compliance 7 July 2022

HM Treasury publishes post-implementation reviews of the UK’s AML/CTF regulatory framework

Posted on 7 July 2022

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