Your guide to this week in regulation
TechnicalStay up to date with our latest round up of financial regulation.
The Financial Conduct Authority (FCA) plans to strip outdated or duplicated requirements from its insurance rule book.
In this episode of the podcast David Morrey, Partner, Head of Investment Management, and Ben Farmer, Senior Manager, review what this means for firms.
The conversation also covers:
- mortgage rule simplification
- pooled funds and consumer credit regulatory returns
- FCA's thematic review on small asset managers and alternative managers
- FCA's engagement paper on AI live testing
- regulation of crypto assets.
Subscribe to the series today
Host
-
David Morrey
I am a partner in our Financial Services Regulatory Advisory practice where I help clients dealing with the challenges of current regulation or emerging requirements.View Profile -
Ben Farmer
I support our financial services clients in meeting their regulatory obligations; focusing on conduct risk and customer outcomes.View Profile
Read our related insights, reports and more
PSM&A: applying CASS best practice to SIPP operators
ArticleThe FCA's PSM&A regime offers greater consumer protection for SIPP operators using unauthorised trustees. We look at the key features and similarities to CASS.
Automating regulatory reporting to support Basel 3.1
ArticleDiscover how UK banks can use straight through processing to lift Basel 3.1 regulatory reporting quality, strengthen internal controls and reduce resubmission risk.
Get the latest insights, events and guidance for financial services professionals, straight to your inbox.