- Home/Publications/Compliance Monitor
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
Safer - but safe enough? Changes for payments safeguarding
Some payments and e-money providers do not have adequate safeguarding practices and present a risk to consumers, says the regulator. Final rules and guidance to address these problems are not as drastic as they could have been, but need focused attention for firms to comply by the deadline, report Emma Radmore and Laura Wiles.
Online Published Date:
02 September 2025
Appeared in issue:
Vol 38 No 1 - 01 September 2025
Repeat customer due diligence failings earn Barclays £42m fine
The bank opened a client money account for a firm without checking the Financial Services Register and rated another customer 'low risk' despite its receipt of tens of millions from a company under criminal investigation. Denis O'Connor scrutinises lessons to be learned.
Online Published Date:
03 September 2025
Appeared in issue:
Vol 38 No 1 - 01 September 2025
EU institutions negotiate revised payments legislation
Dubbed by many as an 'evolution' rather than a 'revolution', reforms to the European Union payments legislative framework have reached trialogue negotiation stage, following the approval in June 2025 of the EU Council's position. Martin Dowdall and Clare Reynolds explore provisions that are likely to feature prominently in inter-institutional dialogue.
Online Published Date:
03 September 2025
Appeared in issue:
Vol 38 No 1 - 01 September 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