UK Regulation
Regional regulation has global consequences ― Stay abreast of the latest UK regional compliance and regulation news.
AllArticles
78 results
UK Regulation
FCA: firms should tell us before ‘things go wrongʼ
The Financial Conduct Authority (FCA) has urged firms to report financial stress before “things go wrong”, during a webinar it...
Regulatory Oversight
Financial Ombudsman board dismissed CEO after ‘fundamental disagreementsʼ
Abbey Thomas was dismissed from her role as chief executive of the Financial Ombudsman Service (FOS), the Treasury Committee has...
UK Regulation
FCA creates dedicated ‘neo-brokerʼ supervision team
The UK Financial Conduct Authority (FCA) is creating a separate team to supervise firms that are classified as “neo-brokers” under...
Conduct & Culture
Non-financial misconduct rules will drive ‘lawyering up’ of human resources activity
Plans by the UK Financial Conduct Authority (FCA) to provide guidance on and extend non-financial misconduct rules to non-bank firms...
Conduct & Culture
FCA’s new harassment and bullying rule expands possibility for individual bans
The UK Financial Conduct Authority’s (FCA) new harassment and bullying rules introduce the possibility of the regulator banning more individuals...
Compliance
FCA tech head claims AI enabling ‘Minority Reportʼ-like detection of financial harm
The Financial Conduct Authorityʼs (FCA) deployment of artificial intelligence (AI) has given the regulator the ability to detect financial harm...
Digital Assets
Zigluʼs collapse: UK crypto ‘small fryʼ struggle to succeed
The UKʼs “small fry” crypto startups are struggling to succeed, despite regulatory tailwinds. Five crypto-asset companies have shut down since...
Digital Assets
Defunct Ziglu’s finances in doubt last year; directors linked to failed investment firm
The directors of UK crypto firm Ziglu raised “significant doubts” about its ability to continue as a going concern in...
...