Tag: FCA

Zeidler Group has turned its attention to one of the most significant shifts in UK retail fund disclosure in years, using the latest episode...

Zing365, a provider of learning solutions built specifically for the insurance sector, has launched a new platform aimed at helping firms evidence workforce competence...

Accountability is fundamental to trust in financial services, and a recent enforcement action from the UK's Financial Conduct Authority (FCA) shows what happens when...

Regulated firms are being forced to treat adverse media screening as a frontline compliance control rather than a secondary check, as a wave of...

For over a decade, UK retail investors have relied on the UCITS Key Investor Information Document (KIID) or the PRIIPs Key Information Document (KID)...

Fraud monitoring has shifted from a discretionary control to a core prudential and conduct requirement across every major regulatory jurisdiction. Financial institutions that fail...

More assets than ever now sit across three or more jurisdictions, and the compliance surface area facing global asset managers has never been larger,...

The FCA's move to simplify transaction reporting could create a different challenge for firms, with FinregE warning that fewer reporting fields could expose weaknesses...

Artificial intelligence has sharpened detection, cut false positives and surfaced patterns that rules-based anti-money laundering (AML) systems simply cannot see. Yet according to new analysis...

The Financial Conduct Authority has extended its Scale-Up Unit to five firms it regulates on its own, marking a new phase for the initiative...