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FCA final rules and guidance on Non-Financial Misconduct – Part 1
On 1st September 2026, the FCA’s new rules and guidance on Non-Financial Misconduct (NFM) in financial services will take effect. Our July 2025 Hot TopICS covered the rule changes and proposed supporting guidance and the finalised guidance was published on…
The UK financial sanctions regime explained
The FCA has repeatedly stated that reducing and preventing financial crime is one of its strategic priorities. This is reflected in the fact that 75 of the 130 enforcement operations it commenced in 2025 related to financial crime and, of these, it deemed 37…
Financial crime prevention - why risk assessments matter
Financial crime is evolving rapidly across financial services, and insurance brokers are increasingly expected to play an active role in preventing it. Often seen as the first line of defence when it comes to spotting suspicious activity, brokers are an…
FCA Policy Statement PS26/2 - material third party reporting
This is the second of two Hot TopICS on this subject, outlining the FCA’s new operational incident and third party reporting requirements. In this latest Hot TopICS, we will cover material third party reporting. In our first (May) related Hot TopICS we…
FCA Policy Statement PS26/2 – Operational incident reporting
This is the first of two Hot TopICS outlining the FCA’s new operational incident and third-party reporting requirements. In this Hot TopICS, we will cover the background to the publication of the new rules and guidance, and the operational incident reporting…
FCA report on consumer understanding: good practice and areas for improvement
The FCA has published examples of good and poor practice relating to the Consumer Duty’s consumer understanding outcome, set out in the FCA Handbook at PRIN 2A.5. . The guidance is relevant to all regulated firms, includes extra commentary for smaller firms,…
