Resources for FCA Regulated Firms in the UK

FCA Communications Compliance: How Portfolio Managers and Client Teams Can Meet FCA Compliance Requirements

Are your client communications fully FCA-compliant or could they be putting your firm at risk? For portfolio managers, every email, phone call, or meeting is more than just an exchange of information, it’s a potential regulatory checkpoint. To meet FCA compliance client communications requirements, you must align with COBS communications compliance, FCA rules, and MAR SMCR client comms rules while maintaining transparency, accuracy, and trust.

How to Prepare for an FCA Supervisory Visit

Preparing for an FCA supervisory visit can feel daunting, but it’s also a valuable opportunity to demonstrate your firm’s strong compliance culture and commitment to meeting every regulatory requirement. For asset managers, senior managers, and others working in financial services, this is your chance to show the Financial Conduct Authority (FCA) that you meet – and exceed – the regulation expectations.

Chip Partners with Sedric to Streamline Financial Promotions with AI-First Compliance

What to Include in Your FCA Annual Compliance Report: Reporting Requirements Explained

Steering through the complexities of compliance can feel like walking a tightrope, but your FCA annual compliance report is your safety net. This annual report isn't just a formality; it's an essential tool for demonstrating your firm’s adherence to regulatory expectations under the Financial Conduct Authority.

Influencing the Finfluencers: How the FCA is Cracking Down on Financial Promotion

Social media has made many things more accessible: news, entertainment, misinformation, and now—financial risk. In recent years, a curious species has emerged at the intersection of finance and fame: the finfluencer. Equal parts lifestyle guru and self-styled investment expert, these online personalities have cultivated vast followings by dispensing advice on everything from cryptocurrency trading to forex speculation. For the Financial Conduct Authority (FCA) in the UK, the trend has become increasingly intolerable.

FCA Compliance Checklist for Asset Managers

Regulatory compliance is one of the most important responsibilities for UK asset managers. The Financial Conduct Authority (FCA) enforces strict rules designed to protect investors, maintain market integrity, and ensure fair treatment of clients. A well-structured FCA compliance checklist is vital for meeting these obligations consistently.

FCA Approach to AI and Algorithmic Systems in Asset Management | Approach to AI Regulation in Financial Services

Artificial intelligence is transforming financial markets and reshaping the UK financial services sector. The UK’s Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) are taking a stronger stance on how asset managers deploy AI technologies and algorithmic systems.