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Financial services

An 8-point checklist to help Payment and E-money firms’ safeguarding audit compliance
June 6, 2023
A handy 8-point checklist designed to help Payment and E-Money firms strengthen their compliance ahead of their safeguarding audit.
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Payment and e-money firms’ safeguarding audits – common questions answered
June 5, 2023
Answers to the common questions Payment and E-money firms ask regarding the annual safeguarding audit, which the Financial Reporting Council (FCA) requires.
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Payment and E-Money Firms Safeguarding Audit
June 2, 2023
Since 2021, the Financial Reporting Council (FCA) has required firms covered by The Payment Service Regulations and Electronic Money Regulations to have an annual safeguarding audit.
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Financial Services Update – May 2023
May 18, 2023
In this issue we cover the latest FCA proposals and consultations for the sector.
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Financial Services Update – January 2023
January 11, 2023
In this issue we cover the latest compliance and policy developments for the sector, plus the implications of fresh FCA guidance.
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Financial Services Update – September 2022
September 2, 2022
In this issue we cover the latest compliance and policy developments for the sector, plus the implications of fresh FCA guidance.
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Offshore Reporting Funds
June 10, 2022
An overview of the tax treatment of offshore investment funds and the effect on UK investors when the fund applies for ‘offshore reporting fund’ status.
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Financial Services Update – June 2022
June 9, 2022
In this issue we cover the latest compliance and policy developments for the sector, plus the implications of fresh FCA guidance.
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Businesses set to pay money laundering levy
May 10, 2022
Some regulated businesses now face paying an annual charge as part of the Government’s drive to combat international financial crime through newly introduced anti-money laundering levy regulations.
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Financial Services Update – February 2022
February 16, 2022
In this bumper-packed issue we cover the latest compliance and policy developments, plus the implications of fresh FCA guidance.
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Financial Services Update September 2021
September 3, 2021
In this issue we have a special on the New Prudential Regime - IFPR - covering its implications for investment firms and preparation considerations.
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Financial Services Update May 2021
May 11, 2021
The latest on the New Prudential Regime, Long Term Investment Funds, The new Financial Services Act and more.
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Financial Services Update December 2020
December 15, 2020
Delays in the New Prudential Regime and Senior Manager and Certification Regime, plus preparing for Brexit.
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Financial Services Update – August 2020
August 28, 2020
Coronavirus measures from the FCA, FCA Connect and GABRIEL, ICT Guidelines, REP008 forms and more
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Financial Services Update – May 2020
May 18, 2020
FCA guidance in response to Coronavirus, the new Prudential Regime and preparing for Brexit
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Financial Services Update – January 2020
January 9, 2020
What's next with Brexit, changes to the Senior Manager and Certification Regime (SM&CR) and more
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Financial Services Update – September 2019
September 17, 2019
Brexit, Senior Manager and Certification Regime and more
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New Capital Requirements for Investment Firms
May 22, 2019
The FCA in conjunction with the EBA has finalised guidance on a major overhaul of capital requirements for investment firms.
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Financial Services Update – April 2019
April 12, 2019
Brexit, MIFID IT systems reporting, COREP, and more
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Financial Services Update – October 2018
October 31, 2018
Brexit, PSPs and e-money providers, and more
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Financial Services Update – July 2018
July 18, 2018
Investment Funds, Independent Directors, Movement between share classes, and more
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Solicitors Accounts Rules Update
June 14, 2018
Common mistakes under the current rules and the proposed new rules to apply from April 2019
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Financial Services Update – February 2018
February 15, 2018
New Capital Requirements, FCA and Distributed Ledger Technology, and more
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