As the trees acquire their autumnal hue, and the mornings become damp and darker, we are moving towards the end of the year.  It is not...

It was nice to spend a long weekend in Edinburgh hence the gap since my last Compliance Digest.  The FCA has been busy and there have...

August has turned into September, meaning that many of us have put our suitcases away for the time being and sharpened our pencils,...

Schools in England have broken up for the Summer at the same time as schools in Scotland start preparing for the new term.  Summer cannot...

Introduction The FCA issued a comprehensive Dear CEO in September 2023 to Corporate Finance Firms (CFF), outlining its critical...

Tackling financial crime is a priority for the FCA.  As part of its responsibility to help ensure the integrity of the UK financial...

This week came with the announcement that the General Election will be on 4th July.  Will a new Government continue to deliver the...

Welcome to this week’s Compliance Digest.  Here is a summary of issues that have been highlighted in my various industry news feeds over...

Welcome to this week’s compliance digest.  The FCA has been busy this week.  It has published its business plan for 2024/25, and the...

This is a summary of some of the regulatory issues that have come from the FCA, PRA, and my various news feeds this week. Shifting the...