10 For 10: Top Compliance Stories For the Week Ending July 19, 2025
Daily Compliance News: July 15, 2025, The Fighting Workplace Bullying Edition
Everything Compliance: Episode 153, The CW 25 Edition
Compliance into the Weeds: Global Anti-Corruption Leadership
Daily Compliance News: March 18, 2025, The Slack Channel Edition
Podcast — UK FinReg Focus Areas in 2025: Retail Markets
Fintech Focus Podcast | Sanctions Compliance: Regulators Set Their Sights on Fintechs
Sanctions Compliance: Regulators Set Their Sights on Fintechs
Fintech Focus Podcast | The UK Fintech Investment Landscape
The Standard Formula Podcast | Developments on the Horizon for the UK Change-in-Control Regulatory Regime
Brexit & Financial Services: Preparing for the End of the Transition Period
The FCA believes that some payments firms do not currently have sufficiently robust safeguarding practices. This poses a risk of harm to consumer and market integrity that the FCA is seeking to mitigate. ...more
Following the January 2024 launch of a review of historical motor finance commission arrangements and sales across several firms, the FCA has announced that it now plans to set out the findings from the review in May 2025...more
What U.K. Firms Need to Know - INTRODUCTION - Over the past decade, the use of messaging applications, such as WhatsApp, for business purposes as an alternative to traditional email has grown exponentially. Ease of use...more
We set out below a number of interesting English court decisions and market developments which have taken place and their impact on M&A transactions. This review looks at these developments and gives practical guidance on...more
During the first week of June, the Financial Conduct Authority (FCA) issued two publications on COVID-19-related matters that will be of particular interest to FCA-authorised firms (“Firms”), including payment services firms...more
The commencement date of 9 December 2019 for the extension of the Senior Managers and Certification Regime (SMCR) to solo-regulated firms is fast approaching. The SMCR will replace the existing Financial Conduct Authority...more
BROKER-DEALER - Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits - The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to...more
LIBOR Discontinuance and the Derivatives Markets - On July 27, the Chief Executive of the UK Financial Conduct Authority announced that, after the end of 2021, the FCA would no longer use its power to persuade or compel...more
The FCA has found that client hospitality events do not always enhance the quality of service to clients in line with its inducement rules....more
Overview for AIM Companies - The Market Abuse Regulation ("MAR") applies from 3 July 2016 and will mean a number of changes for AIM companies. The main practical issues to be aware of are listed below: - There...more