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Comment and Analysis

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Regulation of Products

The FCA's response to the Coronavirus pandemic at-a-glance

The British Financial Conduct Authority has made several pronouncements on the economic emergency that the global pandemic is causing and its expectations of firms during this 'black swan' event. Operational res...

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Technology

RegTech roundup

RegTech is defined by the UK's Financial Conduct Authority as the application of new technologies to facilitate the delivery of regulatory requirements. Here are a few recent developments. ...

Latest News

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Client Reporting

FCA suspends 10% drop-letter rule

In a 'Dear CEO' letter to retail financial firms, the UK's Financial Conduct Authority has made a concession that ought to save wealth management firms a good deal of expense. ...

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Fines and Punishment

Hong Kong bans RM from finance for 14 months

The Securities and Futures Commission has banned Ms Chan Tan Lo, a former relationship manager at BOCI Securities, from doing financial business for 14 months up until 18 May 2021....

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Regulation of Products

FCA takes pragmatic approach to Corona-crisis

The UK's Financial Conduct Authority has offered something to the firms that it regulates to help them through the Coronavirus crisis. It has delayed the appearance of new rules, is appearing to invite them to u...