Latest News

9 Mar 2026

FCA AML Review: Key Findings for Corporate Finance Firms and What They Must Do Now

Recent FCA supervisory work highlights weaknesses in AML controls across the corporate finance sector and what firms must do to respond.

12 Feb 2026

HM Treasury has opened a consultation on proposed changes to the appointed representatives (AR) framework

The UK government proposes that firms wishing to act as principals should be required to obtain a specific FCA permission.

28 Oct 2024

Consultation on re-bundeling research with execution fees

ESMA (European Securities and Markets Authority) proposed that investment research be re-bundeled with execution payments. This marks a significant and sensible change.

24 Sept 2024

What can ARs and Principal firms learn from the recent Starling Bank Case

The £29 million fine for failings in financial crime controls

20 Feb 2024

Cooperation between regulators and drive to open markets

Speech by Ashley Alder, Chair FCA, delivered at the UK Mission to the European Union

23 Jan 2024

Individual charged with fraud over unauthorised investment scheme

A fine and/or up to 10 years’ imprisonment

22 May 2023

FCA sets out changes to the equity secondary markets

Ashurst comment on FCA changes to to equity secondary markets

23 Aug 2022

FCA reforms the AR regime

Osborne Clarke provided an analysis of the FCA's reforms to the AR regime