February
Compliance Snippet 1069: FCA says there is room for improvement on protection sales
Compliance Snippet 1068: Latest FOS complaints data shows FOS rejects most complaints
Compliance Snippet 1067: Complaints – get your final response letters right.
January
Compliance Snippet 1066: A new dawn for UK wealth creation?
Compliance Snippet 1065: New FSCF limits – please change documents
Compliance Snippet 1064: FOS jurisdiction and the 3 and 6 year rules
Compliance Snippet 1063: Hello again and here’s to a great 2026!
December
Compliance Snippet 1062: Trusts need to register for Automatic exchange of Information
Compliance Snippet 1061: Happy festive season
November
Compliance Snippet 1060: New FSCS limits
Compliance Snippet 1059: For MLROs – The FCA on Romance Fraud – also vulnerability
Compliance Snippet 1058: FCA requires firm to pay $101m in compensation
October
Compliance Snippet 1057: Definition of Regulatory Capital for Investment Firms
Compliance Snippet 1056: Attention MLROs – Economic Crime Plan 2 outcomes progress report
Compliance Snippet 1054: FCA moves forward on crypto asset regulation
Compliance Snippet 1053: Targeted support for consumers pensions and retail investment decisions
September
Compliance Snippet 1052: Pensions, tax free cash and cancellation rights
Compliance Snippet 1051: Explaining intra portfolio risks to protect against FOS.
Compliance Snippet 1050: How to embed AI into businesses.
Compliance Snippet 1049: Attention MLROs – cyber attack security
Compliance snippet: Appointed Representative Regime – huge change coming
July
Compliance snippet 1047: Attention MLRO’s (again!) FCA updates its PEP guidance
Compliance snippet 1046: FCA highlights good practice for firms providing retirement income advice
June
Compliance snippet 1044: The FCA steps up guidance and help on Gen AI
Compliance Snippet 1043: New FCA template available for checking advice suitability requirements
Compliance Snippet 1042: Where to next for Crypto regulation?
Compliance Snippet 1041: Further on FCA Scam emails
May
Compliance Snippet 1040: Scam email – not from the FCA.
Compliance Snippet 1039: Where to next for Crypto regulation?
Compliance Snippet 1038: How to use generative AI
Compliance Snippet 1037: Attention firms with Appointed Representatives (ARs)
Compliance Snippet 1036: FCA publishes Consumer Duty review outcomes
April
Compliance Snippet 1035: Cryptoasset regulation inches forward.
Compliance Snippet 1034: Remember Bluecrest? Here’s what you were waiting for …..
Compliance Snippet 1033: Dawn of the protection cover age?
March
Compliance Snippet 1032: Get your cash flow assumptions finalised.
Compliance Snippet 1031: FCA on its review of firms consumer duty activities
Compliance Snippet: Annual review letters
Compliance Snippet 1029: More for MLROs – guidance on failure to prevent fraud.
Compliance Snippet 1028: Attention MLROs. OFSI financial services threat assessment.
February
Compliance Snippet 1027: The demise of the SDR (Sustainability Disclosure Requirements).
Compliance Snippet 1026: Compliance and your PII application.
Compliance Snippet 1025: Prioritising Compliance Tasks at Senior Management level for the year.
Compliance Snippet: Here is your essential guide to a robust CPD programme for the next 12 months.
January
Compliance Snippet 1023: The FCA on preparing for redress “Polluter Pays”
December
Compliance Snippet 1022: FCA Thematic reviews in 2025 – prepare for them
Compliance Snippet 1021: Happy Christmas and Another FCA proposal legally challenged
Compliance Snippet 1020: Remember Bluecrest? (Snippet 1016). Here’s the details.
Compliance Snippet 1019: Selling shares in your firm? How to tell the FCA
November
Compliance Snippet 1018: FCA launches target action against finfluencers
Compliance Snippet 1017: FCA gives examples of financial promotions interventions
Compliance Snippet 1016: Scary legal ruling extends FCA powers
October
Compliance Snippet 1014: FOS on their approach to vulnerable client complaints
Compliance Snippet 1013: Investment trusts – relation of disclosure requirements
Compliance Snippet 1012: A note on elective professional clients
Compliance Snippet 1011: Sustainability and the IFA …. the story goes on ….
September
Compliance Snippet 1010: Government launches pensions review – implications
Compliance Snippet 1009: Using sustainability labels
Compliance Snippet 1008: Honesty (or dishonesty) and the consequence for regulated people
Compliance Snippet 1007: Protection, consumer duty, the FCS and us!
Compliance Snippet 1006: Welcome back. While we were away, the FCA was at play, banning away.