Tag: FCA
FCA trims SM&CR: streamlining or a new culture risk?
The FCA and PRA have confirmed a package of changes to the Senior Managers and Certification Regime (SM&CR), reducing the number of certified persons,...
calQrisk to develop AI oversight tools in FCA sandbox
calQrisk has secured a place on the UK Financial Conduct Authority's Supercharged Sandbox, an innovation initiative aimed at fostering the next wave of AI...
FCA’s NFM rules put 38,000 firms’ evidence to the test
From 1 September 2026, the FCA Code of Conduct will extend to cover bullying, harassment and violence at every FCA-authorised organisation, dragging almost 38,000...
Adclear lands Marshmallow as Consumer Duty pressure grows
As the FCA increases its focus on Consumer Duty compliance, UK InsurTech Marshmallow has partnered with communications compliance platform Adclear to strengthen oversight of...
Why AI is testing the limits of financial crime controls
The rapid adoption of generative and agentic AI is forcing financial services firms to reconsider whether traditional information barriers remain effective in a world...
RegTech’s hallucination problem: can AI show its working?
The question sharp compliance leads ask about Karavel is rarely about features. Instead, it cuts deeper: how do they know the AI will not...
Why the annual review may become a premium service
The annual review is itself under review, and according to WealthTech provider Ortec Finance, the commercial consequences could be profound. The Financial Conduct Authority's consultation...
UK AI Champions unveil plan to fast-track FinTech adoption
The UK government's independent AI Champions for financial services, Harriet Rees of Starling Bank and Dr Rohit Dhawan of Lloyds Banking Group, have drawn...
UK regulators tighten grip on cloud giants powering finance
The UK Government has designated four of the world's largest cloud and technology providers, Microsoft, Google Cloud, AWS and Oracle, as Critical Third Parties...
Regulators cut SMCR red tape as reform wave begins
The Financial Conduct Authority and Prudential Regulation Authority have unveiled the opening phase of their reform of the Senior Managers and Certification Regime (SMCR),...
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