Financial Compliance and Regulation

Fri, Jul 23, 2021

Regulatory Focus – June 2021

In this edition of Regulatory Focus, Kroll’s compliance experts round up news and publications from the FCA during April and May 2021.

Executive Summary

Executive Summary

Jul 23, 2021

When Do Senior Managers Have to Be Certified and Reported as Directory Persons?

When Do Senior Managers Have to Be Certified and Reported as Directory Persons?

Jul 23, 2021

FCA Changes Process for Firms Wishing to Change Their Legal Status

FCA Changes Process for Firms Wishing to Change Their Legal Status

Jul 23, 2021

Fake Emails Purporting to Come from the FCA

Fake Emails Purporting to Come from the FCA

Jul 23, 2021

Second Consultation on New Prudential Regime for UK Investment Firms

Second Consultation on New Prudential Regime for UK Investment Firms

Apr 19, 2021

Levelling the Playing Field: Innovation in the Service of Consumers and the Market

Levelling the Playing Field: Innovation in the Service of Consumers and the Market

Apr 20, 2021

Compliance, Culture and Evolving Regulatory Expectations

Compliance, Culture and Evolving Regulatory Expectations

Mar 31, 2021

Changes to UK MiFID’s Conduct and Organizational Requirements

Changes to UK MiFID’s Conduct and Organizational Requirements

Apr 28, 2021

The FCA and Practitioner Panel Joint Survey for 2021 Launches

The FCA and Practitioner Panel Joint Survey for 2021 Launches

Apr 30, 2021

Regulation for a Different World

Regulation for a Different World

May 06, 2021

FCA Fines Firm for Serious Financial Crime-Control

FCA Fines Firm for Serious Financial Crime-Control

May 06, 2021

Financial Services Regulatory Initiatives Grid

Financial Services Regulatory Initiatives Grid

May 07, 2021

FCA Launches Consultation on Long-term Asset Fund (LTAF)

FCA Launches Consultation on Long-term Asset Fund (LTAF)

May 07, 2021

FCA and Bank of England Statement on LIBOR Transition

FCA and Bank of England Statement on LIBOR Transition

May 13, 2021

The Rise in Scams and the Threat to a Legitimate Financial Services Industry

The Rise in Scams and the Threat to a Legitimate Financial Services Industry

May 18, 2021

All Reporting Firms Moved to FCA's New Data Collection Platform Regdata

All Reporting Firms Moved to FCA's New Data Collection Platform Regdata

May 19, 2021

FCA Publishes a Consultation Paper on the Use of Its New Powers

FCA Publishes a Consultation Paper on the Use of Its New Powers

May 20, 2021

Man Charged for Carrying Out Regulated Activities Without Authorization

Man Charged for Carrying Out Regulated Activities Without Authorization

May 20, 2021

Firms Should Ensure That Permissions Are Reviewed Regularly

Firms Should Ensure That Permissions Are Reviewed Regularly

Jul 23, 2021

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Executive Summary

Executive Summary

Jul 23, 2021

When Do Senior Managers Have to Be Certified and Reported as Directory Persons?

When Do Senior Managers Have to Be Certified and Reported as Directory Persons?

Jul 23, 2021

FCA Changes Process for Firms Wishing to Change Their Legal Status

FCA Changes Process for Firms Wishing to Change Their Legal Status

Jul 23, 2021

Fake Emails Purporting to Come from the FCA

Fake Emails Purporting to Come from the FCA

Jul 23, 2021

Second Consultation on New Prudential Regime for UK Investment Firms

Second Consultation on New Prudential Regime for UK Investment Firms

Apr 19, 2021

Levelling the Playing Field: Innovation in the Service of Consumers and the Market

Levelling the Playing Field: Innovation in the Service of Consumers and the Market

Apr 20, 2021

Compliance, Culture and Evolving Regulatory Expectations

Compliance, Culture and Evolving Regulatory Expectations

Mar 31, 2021

Changes to UK MiFID’s Conduct and Organizational Requirements

Changes to UK MiFID’s Conduct and Organizational Requirements

Apr 28, 2021

The FCA and Practitioner Panel Joint Survey for 2021 Launches

The FCA and Practitioner Panel Joint Survey for 2021 Launches

Apr 30, 2021

Regulation for a Different World

Regulation for a Different World

May 06, 2021

FCA Fines Firm for Serious Financial Crime-Control

FCA Fines Firm for Serious Financial Crime-Control

May 06, 2021

Financial Services Regulatory Initiatives Grid

Financial Services Regulatory Initiatives Grid

May 07, 2021

FCA Launches Consultation on Long-term Asset Fund (LTAF)

FCA Launches Consultation on Long-term Asset Fund (LTAF)

May 07, 2021

FCA and Bank of England Statement on LIBOR Transition

FCA and Bank of England Statement on LIBOR Transition

May 13, 2021

The Rise in Scams and the Threat to a Legitimate Financial Services Industry

The Rise in Scams and the Threat to a Legitimate Financial Services Industry

May 18, 2021

All Reporting Firms Moved to FCA's New Data Collection Platform Regdata

All Reporting Firms Moved to FCA's New Data Collection Platform Regdata

May 19, 2021

FCA Publishes a Consultation Paper on the Use of Its New Powers

FCA Publishes a Consultation Paper on the Use of Its New Powers

May 20, 2021

Man Charged for Carrying Out Regulated Activities Without Authorization

Man Charged for Carrying Out Regulated Activities Without Authorization

May 20, 2021

Firms Should Ensure That Permissions Are Reviewed Regularly

Firms Should Ensure That Permissions Are Reviewed Regularly

Jul 23, 2021

Regulatory Focus – February 2021
The Voice

When do Senior Managers have to be Certified and Reported as Directory Persons?

FCA Changes Process for Firms Wishing to Change their Legal Status

Fake Emails Purporting to Come from the FCA  

FCA Updates – April 2021

Second Consultation on New Prudential Regime for UK Investment Firms
 
Levelling the Playing Field: Innovation in the Service of Consumers and the Market
 
Compliance, Culture and Evolving Regulatory Expectations
 
Changes to UK MiFID’s Conduct and Organizational Requirements 

The FCA and Practitioner Panel Joint Survey for 2021 Launches  

FCA Updates – May 2021

Regulation for a Different World
 
FCA Fines Firm for Serious Financial Crime-Control Failings in Relation to Cum/Ex Trading
 
Financial Services Regulatory Initiatives Grid
 
FCA Launches Consultation on Long-term Asset Fund (LTAF), Designed to Invest in Efficient Long-Term Illiquid Assets, and Works on Liquidity Mismatch in Open-Ended Property Funds
 
FCA and Bank of England Statement on LIBOR Transition
 
The Rise in Scams and the Threat to a Legitimate Financial Services Industry
 
All Reporting Firms Moved to FCA’s New Data Collection Platform RegData
 
FCA Publishes A Consultation Paper on the Use of its New Powers Under the Benchmarks Regulation to Facilitate LIBOR’s Wind Down
 
Man Charged for Carrying Out Regulated Activities Without Authorization
 
Firms Should Ensure that Permissions are Reviewed Regularly

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