Category Archive

Below you'll find a list of all posts that have been categorized as “regulatory”

UK PRA still driving changes

The lead prudential regulator (PRA) which oversees deposit-takers, insurers, credit-unions and the larger investment firms in the UK continues to develop and advance its own programme of key initiatives and structural reforms in the UK. From...

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FCA supports the evolution of market-based finance

The UK FCA has issued an Occasional Paper (No. 18) which looks at recent developments in the ‘market-based finance’ (MBF) arena, suggesting this type of business could provide a competitive and innovative alternative to the traditional...

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FCA researches ‘de-risking’ approaches and practices in banking

The FCA has issued its latest research into the ‘de-risking’ approaches and often complex practices being taken by firms when choosing and accepting the client with whom it forms and conducts any business relationship(s). Though focussed...

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FCA Feedback on Recovery & Resolution Planning

The UK conduct regulator (FCA) has recently issued some comprehensive feedback on its initial findings and observations when reviewing and assessing the submissions received to date under the provisions implemented into the UK regarding the EU...

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The widening scope of individual responsibility in UK financial services

Senior-management across UK financial-services will already be familiar if not well versed in the concept and practice of being formally ‘registered’ with a regulator and the need for ‘prior-approval’ for them performing defined functions and roles....

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FCA annual report focuses on Governance and accountability

The UK's Financial Conduct Authority published its latest annual report yesterday.

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