Something phishy: Are banks crossing the line with fake off-channel compliance messages?
Banks are now using dummy messages to source out the use of off-channel communications, as regulators continue to pursue and penalize firms unable to meet the rules. However, are banks crossing the line and, should they look to implement tools that compliantly capture communications across all channels instead?
Regulatory Wrap episode 76: FCA NFM final rules
In Regulatory Wrap for the week to January 16, Jay Hampshire unpacks the FCA’s final guide on non-financial misconduct.
Regulatory Unwrapped: Breaking down the FCA’s NFM framework
Join us for a deeper dive into the biggest regulatory trends and challenges firms are facing as we chat with experts and understand how organizations can keep pace with fast-paced compliance changes.
Firm fined £14 million for data protection failings after cyber-attack
A firm has been fined after it failed to properly protect the data of millions of customers after it was hit by a major cyber attack back in 2023.
FCA answers Call of Consumer Duty
The Financial Conduct Authority is updating its Consumer Duty approach to balance consumer protection with reducing compliance burdens on firms. It aims to clarify expectations, support innovation, and ensure fair outcomes.
FCA crypto consultation proposes firms play by conduct and resilience rules
The Financial Conduct Authority is consulting on which minimum rules should apply to cryptoasset firms, particularly regulations governing operational resilience, governance, and the conduct of senior staff.
FCA to streamline SM&CR in bid to reduce regulatory burdens
Amid efforts by the U.K. government to boost investment, innovation, and growth by cutting “red tape”, the Financial Conduct Authority has laid out plans to “streamline” elements of the Senior Managers and Certification Regime to “make the regime less onerous to firms.”
Regulatory Wrap episode 65: The FCA expands misconduct rules to 37,000 firms
In Regulatory Wrap for the week to July 11, Rob Mason recounts the FCA’s decision to expand misconduct rules to 37,000 non-banking firms in 2026.
Regulatory Wrap episode 64: Global regulators crack down on finfluencer violations
In Regulatory Wrap for the week to June 20, Kathryn Fallah covers the international crackdown on financial influencers, also known as “finfluencers.”
FCA puts innovation “at the very heart” of its strategy
Following its international counterparts, the FCA has adopted a reduced regulation ideology. At the center of this is the push for innovation to amplify growth, fight financial crime, improve processes, and attract clients.
From Instagram grids to behind bars: Finfluencers are under investigation
The FCA is cracking down on finfluencers as firms face growing pressure to closely monitor and regulate their social media promotions.