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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


Risk and Compliance Report Week Ending September 19, 2025)
Executive Summary This briefing analyses key regulatory developments for the week ending 19 September 2025. The environment is a...

James Ross
Sep 2015 min read


Risk & Compliance Report For the week ending: 12 September 2025
Executive Summary This week's regulatory developments emphasise a continued focus on strong governance frameworks, the implementation of...

James Ross
Sep 135 min read


Risk and Compliance Report For the week ending 29 August 2025
Executive Summary This week's principal developments include a strategic rationalisatio n of the FCA's supervisory communication...

James Ross
Aug 304 min read


Risk & Compliance Report For the Week Ending July 25, 2025
1. Executive Summary This week saw significant regulatory movements with immediate and future compliance implications for financial...

James Ross
Jul 266 min read


Risk & Compliance Report For the Week Ending: July 18, 2025
1. Executive Summary This week was marked by a significant volume of policy announcements from UK authorities, collectively known as the...

James Ross
Jul 196 min read


A New Direction for UK Finance: An Analysis of the 2025 Mansion House Reforms
Executive Summary In a landmark Mansion House speech one year into a new government, the Chancellor, Rachel Reeves, unveiled a sweeping...

James Ross
Jul 175 min read


FCA Final Policy and Consultation on Non-Financial Misconduct (CP25/18)
Executive Summary This report analyses the Financial Conduct Authority's (FCA) Consultation Paper CP25/18, which finalises rules and...

James Ross
Jul 44 min read


Risk & Compliance Report weekending 27th June
Executive Summary This report provides an analysis of significant regulatory developments from the last week of June 2025, restructured...

James Ross
Jun 295 min read
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