top of page
NEWS & INSIGHTS
Our News & Insights page gives you the latest updates from Leaman Crellin and key regulatory and compliance updates, including expert commentary, and insights, data and tips.
To receive these articles direct to your inbox, you can register to receive our newsletter.
​​​​​​​​
We always welcome additional expert commentary so please get in touch if you’re interested in sharing your views or content around a particular topic.
​
FEATURED POSTS
Implications Of The New FCA Regulatory Initiatives Grid
The April edition of the FCA's Regulatory Initiatives Grid has been published. Neil Makwana has unpacked a summary of some of the potential impacts.
-
Apr 222 min read
4 Key Areas of FCA Focus in 2025 for Retail Investment Firms
At Leaman Crellin we’ve reviewed the FCA's Annual Work Programme for 2025/26 and asked what does it mean for retail investment firms
-
Apr 81 min read
4 Key Themes in FCAs 2025/26 Work Plan
Leaman Crellin has identified four key themes in the FCA's Annual Work Programme for 2025/26
-
Apr 82 min read
5 New Initiatives from the FCA in 2025
Within its 2025/26 Annual Work Program FCA is introducing several completely new initiatives this year. We’ve picked five highlights to shar
-
Apr 81 min read
5 Key Areas of FCA Focus in 2025 for Wealth Managers
Within the FCA's Annual Work Programme for 2025/26 Leaman Crellin has identified the following 5 key areas of focus for Wealth Managers.
-
Apr 82 min read
ALL INSIGHTS
Search
Navigating 2025 – Regulation beyond tomorrow
As we approach 2025, regulated firms continue to face an evolving regulatory landscape that demands proactive planning and investment.
-
Nov 27, 2024
Strong Product Governance
We've had several requests for an article on product governance, here it is
-
Jul 7, 2021
Are you meeting Threshold Conditions?
To become, and remain, authorised regulated firms must meet Threshold Conditions at all times. This article looks at some trends and changes
-
May 26, 2021
Financial Promotions in a Digital Age
In this article we look at the online harms bill and the FCA concerns about the scope of that bill.
-
May 12, 2021
Managing conflicts of interest in the real world
This article shares our real world experience of how you actually manage conflicts of interest in practice.
-
Apr 7, 2021
The Future of Wholesale Markets Regulation
This article digests the speech delivered by the FCA’s Director of Markets & Wholesale Policy on the future of wholesale markets regulation
-
Mar 23, 2021
8 Tips for a good compliance risk assessment
This article gives our top 8 tips for a good compliance risk assessment
-
Mar 10, 2021
TFS-ICAP fines for printing trades & flying prices – 4 lessons for compliance & control functions
We look at the fines TFS - ICAP received in 2020 for ‘printing trades’ and ‘flying prices’. We ponder the lessons for control functions.
-
Mar 3, 2021
What makes a good compliance manual: Practical lessons from banking
This article considers where the need for a compliance manual comes from, and how to make your compliance manual useful, and what to avoid.
-
Feb 10, 2021
FCA Dear CEO to Wholesale Brokers: your checklist
This article looks at the FCA’s Dear CEO letter to wholesale brokers four months ahead of FCA issuing its updated sector risk assessment
-
Nov 25, 2020
5 lessons for compliance from GS and 1MDB
This article considers the lessons learned for Compliance following Goldman Sachs settlements with regulators over 1MDB.
-
Nov 4, 2020
Brexit and MiFID II Transaction Reporting
Market Watch 64 is a timely reminder that the count down to the end of the Brexit Transition on 31 December 2020 is underway.
-
Sep 2, 2020
bottom of page