Tag: supervision
Showing 12 out of 15 results
09 July 2026
The Mills Review: prepare now to keep pace with AI
03 November 2025
Wealth consolidation - FCA review findings
18 June 2025
The FCA's direction of travel for UK financial services
23 September 2021
Regulation in Focus Podcast: FCA's regulatory decision-making proposals - faster and less costly, but at what price?
27 July 2021
FCA CEO sets out transformational agenda for the regulator and the regulated – the 2021/22 FCA Business Plan
15 January 2021
“STABILITY AND CONSISTENCY”: PRA SETS OUT PROPOSALS FOR POST-BREXIT APPROACH TO INTERNATIONAL BANKS
01 October 2020
FCA’s Approach to International Firms
03 September 2020
PRA Dear CEO letter to firms on operational readiness for TPR
18 June 2020
IOSCO proposes updated Outsourcing Principles as Covid-19 drives operational resilience to the top of the agenda
28 May 2019
Client facilitation – Key standards of conduct and internal controls identified and reiterated by Hong Kong SFC
Authors: William Hallatt, Hannah Cassidy and Jennifer Fong On 14 May 2019, the Securities and Futures Commission (SFC) issued further guidance …
29 April 2019
Report into supervision of the Co-operative Bank: lessons not just for regulators but also for firms
Authors: Jenny Stainsby, Vicky Man and Cat Dankos While there have been other reviews1 into the near failure of the Co-operative Bank ("Co-op Bank"), on …
13 September 2018
SFC publishes AML/CFT inspection findings and urges intermediaries to ensure compliance
The Securities and Futures Commission (SFC) issued a circular on 31 August 2018 highlighting both deficiencies and good practices observed in relation to …
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