Mon, Nov 8, 2021
Regulatory Focus – October 2021
In this edition of Regulatory Focus, Kroll’s compliance experts round up key news and publications from the FCA from July to October 2021.
Executive Summary
Nov 08, 2021
FCA Key Topics – September - October 2021
Nov 08, 2021
FCA Updates – September - October 2021
Nov 08, 2021
FCA Updates – July - August 2021
Nov 08, 2021
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FCA Key Topics – September - October 2021
Read more about the key topics on the FCA’s agenda during the past few months which includes:
- Update on the FCA’s new prudential regime
- The FCA and the Bank of England’s new quoting conventions
- The FCA’s proposes streamlined decision-making process
FCA Updates – September - October 2021
Areas covered:
- Man sentenced to over five years imprisonment for money laundering
- IFA banned from working in financial services
- Individual sentenced to 28 months imprisonment from forging a trust deed
FCA Updates – July - August 2021
Areas covered:
- FCA statement on supervision of commodity position limits
- Joint Bank of England and FCA review of open-ended investment funds
- FCA published Annual report and accounts 2020/2021
- Regulatory Hosted Solution Update
- Transforming to a forward-looking, proactive regulator
- Information for firms using exemptions from the financial promotions order
- FCA secures conditional resolution of proceedings against an investment scheme
- FCA enforcement: Individual charged with one offence of money laundering
- Four year sentencing for fraudulent trading and providing financial services without FCA authorization
- FCA publishes final rules to strengthen investor protections in special acquisition companies (SPACs)
- FCA consults on proposals to boost disclosure of diversity on listed company boards and executive committees
- Enforcement: Court of appeal upholds findings of breaches against firm
- FCA stops firms from offering contracts for differences (CFDs) to UK customers
- Third consultation on new prudential regime for UK investment firms
- Unlawful CFD forex trading promotion results in bankruptcy order
- Firms reminded about potential financial crime risks linked to Afghanistan
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