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Regulatory Risk and Compliance Report For the Week Ending 31 October 2025
Executive Summary This week’s regulatory publications indicate several high-priority areas for risk, compliance, and legal functions. The Financial Conduct Authority (FCA) has issued direct warnings on firm conduct, M&A governance, and consumer protection, signalling a clear supervisory and enforcement focus. Key considerations arising this week include: M&A Governance and Integration: The FCA’s multi-firm review of wealth sector consolidation criticises weak due diligence,

James Ross
Nov 27 min read
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