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Day traders sentenced for insider dealing on broker disclosures
By Neasa MacErlean
Online Published Date:
02 September 2025
Appeared in issue:
Vol 38 No 2 - 01 October 2025
Elderly fraudster prosecuted by FCA sent to prison till age 87
An 85-year-old who defrauded over 100 people in a £1 million investment scheme has been sentenced to two years in jail after the FCA brought a successful prosecution against him.
Online Published Date:
05 September 2025
Appeared in issue:
Vol 38 No 2 - 01 October 2025
A closer look at expanded non-financial misconduct rules
Rules for banks on serious misconduct involving bullying, harassment and violence have been extended to non-banks, and the regulator is consulting on whether more guidance is needed. Elizabeth Robertson and Paddy Ferguson outline the changes and steps firms should be taking now.
Online Published Date:
05 September 2025
Appeared in issue:
Vol 38 No 2 - 01 October 2025
Consumer Duty and Ombudsman complaints could be dropped for crypto firms
By Neasa MacErlean
Online Published Date:
17 September 2025
Appeared in issue:
Vol 38 No 2 - 01 October 2025
FCA closes Wellesley probe, finding no fraud or serious misconduct
By Neasa MacErlean
Online Published Date:
17 September 2025
Appeared in issue:
Vol 38 No 2 - 01 October 2025
Sanctions due diligence: understand and manage rising complexity
An intricate landscape of sanctions regimes along with increasingly sophisticated techniques of circumvention mean that due diligence can no longer follow a single template. Dmitry Sachkov explores scenarios.
Online Published Date:
18 September 2025
Appeared in issue:
Vol 38 No 2 - 01 October 2025
Motor insurers enter final stages of £200m redress on write-off costs
By Neasa MacErlean
Online Published Date:
19 September 2025
Appeared in issue:
Vol 38 No 2 - 01 October 2025
FCA prosecution ends in conviction of breach under Data Protection Act
A 26-year-old man from Taunton is the latest to receive a criminal conviction as a result of a prosecution by the FCA.
Online Published Date:
19 September 2025
Appeared in issue:
Vol 38 No 2 - 01 October 2025
Prioritise compliance to secure FCA cryptoasset registration
With 85 per cent of their registration applications being refused, cryptoasset firms must show they have dug below surface-level compliance and integrated genuine resilience to financial crime. Joel Osborne reports on common vulnerabilities and how to get it right.
Online Published Date:
19 September 2025
Appeared in issue:
Vol 38 No 2 - 01 October 2025
PRA and Bank of England launch consultations to slash filing requirements
The PRA has begun implementation of its Banking Data Review with proposals to delete 37 reporting templates from the start of 2026.
Online Published Date:
22 September 2025
Appeared in issue:
Vol 38 No 2 - 01 October 2025
Reimagine your Legal, Risk and Compliance function with AI
Artificial Intelligence technologies not only speed up processes, they change the nature of the work itself - including for Legal, Risk and Compliance functions. The competitive gap is widening; the tools are here, the risks are manageable and the time to act is now, say Babar Hayat and Ian Stott.
Online Published Date:
25 September 2025
Appeared in issue:
Vol 38 No 2 - 01 October 2025
Failure to prevent fraud: what compliance officers need to know
With the 'failure to prevent fraud' offence now in force, an additional burden rests on compliance functions to ensure that firms have reasonable procedures in place to counter relevant risks. Charlotte Hill outlines the scope of the new offence, lessons from parallel legislation and practical steps to implement.
Online Published Date:
01 October 2025
Appeared in issue:
Vol 38 No 2 - 01 October 2025
New EU body steps up AML regulatory evolution
A coordinating European agency is to tighten supervision and raise standards for anti-money laundering compliance across member states. Ted Datta explores the substantial implications for many UK-based financial institutions.
Online Published Date:
01 October 2025
Appeared in issue:
Vol 38 No 2 - 01 October 2025
Conflicts of interest and other supervisory priorities for wholesale firms
The regulator has published feedback on its multi-firm reviews into share buybacks, gifts and entertainment, off-channel communications, transaction governance, along with client asset arrangements. Denis O'Connor discusses discrepancies and lessons from the findings.
Online Published Date:
01 October 2025
Appeared in issue:
Vol 38 No 2 - 01 October 2025