Resources for FCA Regulated Firms in the UK

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.

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.

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.

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.

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. 

As FinTech firms and financial institutions continue their embrace of artificial intelligence—using models to underwrite loans, flag suspicious activity, or tailor customer journeys—the UK regulator is sharpening its gaze.

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.

How compliance leaders and marketing teams can future-proof promotions under the FCA’s Conduct of Business rules—and how Sedric helps reduce risk and accelerate time to market.

As the Financial Conduct Authority (FCA) tightens its regulatory focus on Consumer Duty, financial firms are under pressure to prove that they’re delivering “good outcomes” for retail clients. Consumer Duty AI tools are software platforms that use artificial intelligence to help firms monitor, assess, and improve their compliance with these obligations — especially across digital communication channels, QA workflows, and customer journeys.