Insights
Plain-English thinking on FCA compliance for trading firms. Written by James Lane.
- Not identified during human reviewWhat the FCA’s Wholesale Banks Supervision Insights 3 tells trading firms about change control, surveillance completeness and AI, with five questions for your compliance committee.Change control
- When governance can’t reach the founderLessons from the Odey Final Notice for founder-led firms: three questions and five practical checks.Senior managers
- The UK cryptoasset regime: where things standFinal rules, the application period from 30 September 2026, who needs to apply — and a free readiness checklist.Cryptoassets
- Compliance expertise, AI-amplifiedWhat AI can realistically build, monitor and synthesise for a compliance function — and where the limits are.AI in compliance
- Why spin-outs and SMAs are having a momentWhat is driving the growth in spin-outs and separately managed accounts, and what it means for compliance.Market context
- How the FCA views fractional SMF 16/17What the FCA tests when a part-time CCO or MLRO is proposed, and three ways to structure it.Senior managers
- What the FCA is enforcing right nowCurrent supervisory and enforcement priorities for investment firms.Enforcement
- Incoming regulation — what to prepare forThe rule changes coming for investment managers and trading firms.Horizon
- The hedge fund maturity curveWhat compliance looks like at each stage, from launch to institutional scale.Firm lifecycle
- Build, Operate, Transfer explainedHow a compliance function gets built, run and handed over.Our approach
- Common FCA compliance questions answeredAuthorisation, SMCR, surveillance, reporting and capital in plain English.FAQ
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