regulation

FCA urges firms offering high-risk investments to retail investors to review promotion practices

Regulation

FCA urges firms offering high-risk investments to retail investors to review promotion practices

Several examples of poor practice

clock 28 September 2023 • 3 min read
FCA to open review of private markets valuations - reports

Regulation

FCA to open review of private markets valuations - reports

Valuations lag public markets

clock 27 September 2023 • 2 min read
Quilter Investors' Marisol Hernandez: Trusting ESG ratings data to fix a problematic system

ESG

Quilter Investors' Marisol Hernandez: Trusting ESG ratings data to fix a problematic system

Needs to create the necessary trust

clock 27 September 2023 • 4 min read
FCA and PRA eye stricter rules for non-financial misconduct

Regulation

FCA and PRA eye stricter rules for non-financial misconduct

Enhanced ‘fit and proper’ test

clock 25 September 2023 • 3 min read
EU regulators 'look to future' of SFDR application in financial services with in-depth questionnaire

ESG

EU regulators 'look to future' of SFDR application in financial services with in-depth questionnaire

44-page review

clock 15 September 2023 • 1 min read
JPMorgan's Dimon warns bank stocks will suffer under US capital rules - reports

Regulation

JPMorgan's Dimon warns bank stocks will suffer under US capital rules - reports

Joins Goldman Sachs CEO David Solomon

clock 12 September 2023 • 2 min read
FCA details penalties for firms breaching crypto marketing rules

Regulation

FCA details penalties for firms breaching crypto marketing rules

From 8 October

clock 07 September 2023 • 2 min read
FCA sets out conditions of review into treatment of politically exposed persons

Regulation

FCA sets out conditions of review into treatment of politically exposed persons

Finished by June 2024

clock 05 September 2023 • 2 min read
FCA provisionally opts not to involve CMA in wholesale data market review

Companies

FCA provisionally opts not to involve CMA in wholesale data market review

Four respondents seek CMA involvement

clock 31 August 2023 • 3 min read
Consumer Duty and what it could mean for asset managers

Regulation

Consumer Duty and what it could mean for asset managers

clock 30 August 2023 • 1 min read
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