Blog | FinTech Compliance

Financial Compliance Blog

May 313 min read

Consumer Duty - what we have learn't and what to expect.

Simon Hill reflects reflects on his experiences of supporting FinTechs with the Duty, and the common challenges firms face.

May 23 min read

The FCA asked you to withdraw your licence application. What now?

In the financial year ending March 2023, the FCA rejected 24% of applications for authorisation. To put that into context, that's almost...

Apr 35 min read

10 Key Points to Stay Compliant - before publishing social media financial promotions

In case you missed it, the FCA has now published its finalised guidance (FG24/1) clarifying expectations of firms and others, such as...

Feb 53 min read

5 Common Regulatory Compliance Problems - and their solutions

When it comes to regulatory compliance, 5 main issues rear their ugly heads time and time again. We thought we'd share them with you so...

Nov 16, 20226 min read

Consumer Duty - does your 'Implementation Plan' fit the FCA's criteria?

If the FCA checked on your firm today, would your 'Implementation Plan' fit their criteria? Will your firm be affected by the new...

Nov 2, 20227 min read

Operational Resilience & Third Party Providers - Are you Resilient Enough?

Michael Walford-Williams, Managing Director at Westbourne, a risk management consultancy for the financial services and finTech...