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The FCA; a Reform minded regulator

The Financial Conduct Authority Chief Executive has published a speech this week titled “A reform-minded regulator”, setting out how it intends to adapt to a faster-moving market environment. The dire

 
 
Future of Senior Managers & Certification regime

The National Law Review has highlighted recent FCA commentary on the future of the Senior Managers & Certification Regime. The FCA’s intention is to simplify the framework, reducing unnecessary comple

 
 
The FCA report on weaknesses in due diligence

The FCA has just highlighted weaknesses in due diligence across firms in a recent supervisory review (via AML Intelligence). Not a data problem.An interpretation problem. Firms are still: Over-relying

 
 
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