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FCA supervision in action: Lessons learned for conducting internal investigations and auditor/ regulator communications

May 15, 2025

New briefing note: Spotlight on Solicitors Regulation Authority (SRA) Guidance – Part one, reporting misconduct and conducting internal investigations

May 8, 2025

Auditing FCA/PRA regulated firms:  Auditors’ reporting obligations – Quick Reference Guide

April 16, 2025

Name and Shame Round Two: FCA publishes consultation on redrafted proposals

December 2, 2024

Let’s talk asset management: Episode 10 – UK FCA’s recent work on non-financial misconduct

November 19, 2024

New Navigating Communications podcast – Promotional messages on social media platforms

November 4, 2024

Keep an eye on your surveillance systems and change may be on the way

October 29, 2024

The results of the FCA’s Culture and non-financial misconduct survey have been published: What do you need to know?

October 28, 2024

Regulators reinforce importance of IT, systems and operational resilience:  Key considerations for firms

September 20, 2024

Regulatory intervention:  A refresher for firms on issues to consider when managing VREQs and OIREQs

September 9, 2024

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