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Legal, Regulation & Compliance

03/23/2026

Financial services misconduct reports up 10%

Financial services firms must report breaches to the FCA when an employee breaks one or more of its conduct rules.

03/23/2026

Regulators clear Brookfield Wealth Solutions takeover of Just Group

As of June, wealth management firm BWS had approximately $140 billion in total assets.

03/20/2026

Combined monetary policy decisions and statement

It will have a material impact on near-term inflation through higher energy prices.

03/20/2026

UK passport rule change prompts some expats to rethink British citizenship

Travellers with a different passport will have to provide a certificate confirming right of abode

03/20/2026

How technology is changing the pensions conversation

As consumers consider their financial futures more holistically, the system must work together to support informed long-term decision making.

03/20/2026

SEC confirms exemption for directors and officers of EEA Foreign Private Issuers

The SEC’s decision means that directors and officers of EEA FPIs will not be required to comply with these specific US reporting obligations.

03/19/2026

FCA confirms new incident and third party rules to bolster resilience

Cyber attacks are becoming more frequent and more sophisticated, and firms are increasingly reliant on third party providers.

03/19/2026

Bank Rate maintained at 3.75% - March 2026 Monetary Policy Summary and Minutes

The Bank of England’s Monetary Policy Committee is responsible for making decisions about Bank Rate.

03/19/2026

House of Lords votes to scrap government power to mandate where pension schemes invest

It comes as a blow to pensions minister Torsten Bell, who has been adamant about keeping the reserve power

03/18/2026

UK Upper Tribunal decision on obligations of those in investment management distribution chains

The FCA’s Conduct of Business Sourcebook (COBS) imposes suitability obligations on firms that manage investments

03/18/2026

PS7/26 – Operational resilience: Operational incident and third-party reporting

It will also support the identification of critical third parties (CTPs) and assess where critical nodes of failure could arise.

03/18/2026

The EBA issues revised list of ITS validation rules

Competent Authorities across the EU are reminded that data submitted in accordance with these ITS should not be formally validated against any rules that have been deactivated.

03/17/2026

Pressure mounts on FCA as MPs call for regulatory overhaul

The group warned the UK risks repeating past mistakes unless there is a comprehensive examination of how financial regulation operates and how regulators are held accountable.

03/17/2026

Creating a redress system that works better for consumers and firms

A redress system works best when it is clear, simple to use and trusted – both by the consumers who rely on it when something goes wrong, and by the firms expected to put things right.

03/17/2026

Modernising the liquidity framework for banks and building societies - speech by Phil Evans

Given at University of Leeds, Cloth Hall Court, Leeds

03/17/2026

FCA sets out its 2026 regulatory priorities for the Retail Banking sector

There is recognition of the significantly changing landscape of retail banking as people use branches less and digital channels more

03/16/2026

Financial advisors need to engage with all clients

It’s important for financial professionals to listen to women, and for women to take an active interest in their finances

03/16/2026

FSCS 2026/27 budget delivers efficiency and readiness

The enhanced RCF will also help better protect public funds if a major default occurs, supporting the stability of the UK’s financial services sector.

03/16/2026

Surrey advice firm declared in default by the FSCS

The FSCS said it had already received five claims against the firm for pensions advice, with one upheld

03/16/2026

Five key areas of financial planning ahead of 6th April 2026

Many wills were often prepared at a time when asset growth and frozen thresholds had not yet increased inheritance tax exposure.

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