Regulatory Focus – June 2021

Thu, May 20, 2021

Man Charged for Carrying Out Regulated Activities Without Authorization

Executive Summary

May 20, 2021

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

Jul 23, 2021

Fake Emails Purporting to Come from the FCA

Jul 23, 2021

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

Apr 20, 2021

Compliance, Culture and Evolving Regulatory Expectations

Mar 31, 2021

Changes to UK MiFID’s Conduct and Organizational Requirements

Apr 28, 2021

The FCA and Practitioner Panel Joint Survey for 2021 Launches

Apr 30, 2021

Regulation for a Different World

May 06, 2021

FCA Fines Firm for Serious Financial Crime-Control

May 06, 2021

Financial Services Regulatory Initiatives Grid

May 07, 2021

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

May 07, 2021

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

May 18, 2021

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

May 20, 2021

Man Charged for Carrying Out Regulated Activities Without Authorization

May 20, 2021

Firms Should Ensure That Permissions Are Reviewed Regularly

Jul 23, 2021

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Executive Summary

May 20, 2021

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

Jul 23, 2021

Fake Emails Purporting to Come from the FCA

Jul 23, 2021

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

Apr 20, 2021

Compliance, Culture and Evolving Regulatory Expectations

Mar 31, 2021

Changes to UK MiFID’s Conduct and Organizational Requirements

Apr 28, 2021

The FCA and Practitioner Panel Joint Survey for 2021 Launches

Apr 30, 2021

Regulation for a Different World

May 06, 2021

FCA Fines Firm for Serious Financial Crime-Control

May 06, 2021

Financial Services Regulatory Initiatives Grid

May 07, 2021

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

May 07, 2021

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

May 18, 2021

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

May 20, 2021

Man Charged for Carrying Out Regulated Activities Without Authorization

May 20, 2021

Firms Should Ensure That Permissions Are Reviewed Regularly

Jul 23, 2021

The FCA has charged a man, who appeared at Westminster Magistrates’ Court, in relation to running a business with the intention to defraud creditors and carrying out regulated activities such as advising on investments without FCA authorization.

Between January 2008 and July 2019, the FCA believes the man had provided advice on investments and invested deposits received from clients on their behalf. The man allegedly had informed his clients that the money they deposited into his business would be used to invest in a certain way, however, this was not always the case.

The plea and trial preparation hearing will take place on 17 June 2021 at Southwark Crown Court.

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