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FCA trims SM&CR: streamlining or a new culture risk?
The FCA and PRA have confirmed a package of changes to the Senior Managers and Certification Regime (SM&CR), reducing the number of certified persons,...
Why Marshmallow is betting on AI for FinProms compliance
Marshmallow has partnered with compliance technology provider Adclear to strengthen oversight of its financial promotions, as insurers face growing regulatory scrutiny under the FCA's...
Why ‘confidently wrong’ AI is compliance’s biggest threat
The question sharp compliance leads ask about Karavel is rarely about features. Instead, it cuts deeper: how do they know the AI will not...
The compliance reckoning reshaping embedded finance
Embedded finance, the invisible layer stitching lending widgets into e-commerce dashboards, insurance upsells into ride-hailing apps, and payroll advances into HR platforms, has quietly...
FCA sharpens supervisory focus for buy-side firms
The Financial Conduct Authority's (FCA) Annual Work Programme for 2026/27 offers the most explicit statement yet of how the regulator plans to supervise firms...
Wealth firms rethink Consumer Duty compliance
Consumer Duty has entered a new phase. With implementation deadlines now behind the industry, the focus has shifted from frameworks and documentation to tangible...
How the FCA is reshaping enforcement through transparency
The Financial Conduct Authority’s launch of its inaugural Enforcement Watch newsletter marks a clear shift in how the regulator signals its enforcement priorities to...
UK regulation shifts for asset managers: key changes
UK asset managers are heading into 2026 with a regulatory agenda that is moving quickly from consultation to delivery, as post-Brexit reforms transition from...
How financial institutions can strengthen FCA compliance
Regulatory scrutiny across the UK financial services sector continues to intensify, pushing FCA compliance firmly into the strategic spotlight.
Expectations around consumer protection, record-keeping, evidentiary...
FCA plans major overhaul of retail investment rules
The FCA has unveiled a package of proposed measures designed to improve retail investment engagement, bolster wholesale market confidence and reinforce the UK’s position...
