The FCA is seeking feedback on introducing regulatory expectations or guidance on senior management responsibilities for regulated firms’ sustainability-related strategies.
February 14, 2023The success of the Digital Regulatory Reporting (DRR) programme highlights the opportunity that regtech presents and the increasingly important role technology will play in compliance, says Leo Labeis.
February 10, 2023Breaches of the rules can result in takedowns of websites, public warnings, and other actions, including up to two years in prison.
February 8, 2023While Japan's code of conduct represents a key step forward, the “comply or explain” approach may hinder its effectiveness, writes the IEEFA’s Hazel James Ilango.
February 6, 2023The FCA will continue to put pressure on those using social media to illegally promote investments. In July, it will also introduce the new 'Consumer Duty'.
February 6, 2023The incident has forced firms to manually process derivatives trades. Ransomware gang Lockbit has threatened to publish stolen data unless a ransom is paid.
February 3, 2023The framework will require crypto exchanges to define token listing standards, strengthen rules for intermediaries and custodians, and introduce a crypto market abuse regime.
February 2, 2023Redinel Korfuzi used confidential inside information obtained in his role as a Janus Henderson analyst to enable "timely and profitable trading" in 49 companies.
January 30, 2023The guidance draws from over 300 applications received by the FCA to date, to help crypto firms prepare their applications for registration.
January 26, 2023The MoU establishes cooperation arrangements and enables ESMA to start recognising benchmarks administrators from the UK.
January 26, 2023