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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


Commission Implementing Regulation (EU) 2025/1126, for firms seeking authorisation to offer asset-referenced tokens (ART)
Executive Summary This report provides a thorough analysis of Commission Implementing Regulation (EU) 2025/1126, a key legal instrument...

James Ross
Sep 1611 min read


Risk & Compliance Report for the Week Ending 5 September 2025
Executive Summary Recent developments reveal a UK regulatory environment faced with a policy trilemma: balancing a new statutory mandate...

James Ross
Sep 612 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
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