All Regulation Stories

Law firms and CMCs are being reminded to have robust checks in place to confirm consumers have not already instructed another representative.

The bank created a plan to harm the Qatari Riyal through manipulative trading strategies. 

The Unit aims to help lenders develop new products, attract new customers, and move into new markets. 

Jonathan Barrett, CEO and co-founder of duty of care assessment firm, Comentis, explores how firms can ensure vulnerability reporting becomes a business driver in 2026.

David Hamilton, partner at Howard Kennedy, explores how firms and individuals should avoid being hit by substantial financial penalties in the uncertain runup to the implementation of...

Analysis of FCA enforcement actions uncovers widespread data weaknesses as a key driver of regulatory failings and financial penalties.

The committee found that the statutory six-month deadline for paying IHT is often incompatible with existing pension administration timescales, making it unrealistic for many PRs to...

Bank of Scotland has been fined £160,000 for breaching the UK’s financial sanctions regime after processing payments for a sanctioned individual, the Office of Financial...

The audit trail creates a tamper-resistant "golden record" of the advice journey, ensuring that firms are always audit-ready without the need for manual archiving.

The current approach to AI in financial services risks "serious harm" to consumers and the wider system, the report argues.