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Cards Wire 10 segments
0:15
FCA FCA Source document ↗
United Kingdom FCA Governance & Accountability ✓ 12 claims 02 Nov 2026

FCA sets terms of reference for internal review over Andriesz whistleblower case

The FCA has published terms of reference for an internal review into how it handled whistleblowing disclosures from Mr Simon Andriesz, who has since died. The review's scope has widened and its timeline has slipped, with a progress update due January 2027 and a final report in spring 2027.

  • The review is led by Lea Paterson CBE, an independent non-executive director of the FCA, and was commissioned by the FCA's non-executive directors.
  • Scope now includes whether the FCA met its responsibilities under whistleblowing law and followed its own policies and procedures, including handling of Mr Andriesz's detriment concerns.
  • The review covers the period from at least 2017 to 2026.
  • A progress update will be published in January 2027, with the final report expected in spring 2027, later than the previously stated early 2027 target.
  • The review will identify lessons learned and make recommendations for future engagement with external whistleblowers and vulnerable individuals.
Source document
3:19
FCA FCA Source document ↗
United Kingdom FCA Governance & Accountability ✓ 21 claims 27 Oct 2026

FCA confirms Bullseye Financial has entered administration

The FCA has published a customer notice confirming that Bullseye Financial Ltd, an FCA-authorised firm serving only professional investors, entered administration on 23 October 2026. The notice directs customers to the joint administrators, flags FSCS and Ombudsman routes, and warns about recovery-room scams. It also records a link to HDH Investment Services Ltd, which went into liquidation in April.

  • Bullseye Financial entered administration on 23 October 2026, with joint administrators from Azets and RSM UK appointed.
  • The firm served only professional investors, providing discretionary management or execution-only dealing without investment advice.
  • On 11 March 2026 the firm agreed a voluntary requirement to cease all regulated activity.
  • Bullseye Financial provided some services to clients of HDH Investment Services Ltd, which entered liquidation on 16 April 2026.
  • The FCA says the firm remains authorised and supervised and must still comply with FCA rules, while the administrators answer to their own regulators and insolvency law.
Source document
0:15
FCA FCA Source document ↗
United Kingdom FCA Governance & Accountability ✓ 23 claims 27 Oct 2026

FCA survey finds firm satisfaction up to 79%, trust rises to 75%

The FCA has published results from its annual survey with the Practitioner Panel, measuring how regulated firms view its performance. The data cover satisfaction, trust, effectiveness and understanding of specific objectives including Consumer Duty and the secondary competitiveness objective. Compliance and government affairs teams tracking the FCA's relationship with industry and its simplification agenda should note the figures.

  • 79% of firms reported high satisfaction with their FCA relationship, up from 74% last year.
  • 76% of firms rated the FCA a highly effective regulator, up from 69%, and 75% reported high trust.
  • Understanding of the Secondary International Competitiveness and Growth Objective rose 27 percentage points, with confidence in its delivery up 25 points.
  • 88% of firms said they understand FCA expectations on supporting consumers and embedding the Consumer Duty.
  • The FCA says it is removing outdated or duplicated data returns for 90% of firms and delivered an estimated £5.6bn in benefits to consumers and the economy in its strategy's first year.
Source document
3:06
FCA FCA Source document ↗
United Kingdom FCA Governance & Accountability ✓ 14 claims 23 Oct 2026

FCA finds uneven conflicts management across private market firms

The FCA has published findings from a review of how private market firms identify, manage and disclose conflicts of interest. Standards varied considerably across private equity, private credit and real estate, with some firms failing to keep controls in step with their own growth. The regulator wants firms to act on the findings, and signals a wider supervisory focus on private markets and investor outcomes.

  • The FCA review covered conflicts of interest and fair customer treatment across private equity, private credit and real estate.
  • Recurring weaknesses were found in cross-fund transfers and multi-party transactions, gifts and entertainment, and information barriers.
  • The FCA expects firms to identify, record, manage and disclose conflicts effectively and to demonstrate investors are treated fairly.
  • Separately, the FCA is examining governance and conflicts concerns relating to the use of private credit to fund consumer litigation claims.
Source document
0:15
FCA FCA Source document ↗
United Kingdom FCA Governance & Accountability ✓ 18 claims 22 Oct 2026

FCA chief signals more assertive use of powers to tackle digital-era market risks

A speech by FCA chief executive Nikhil Rathi sets out how the regulator intends to respond to AI, tokenisation and other fast-moving technology without slowing innovation. It signals a shift from rulemaking toward more assertive supervisory action, a rethink of AML processes, and new leadership roles tasked with cutting duplicative compliance burden while expanding the FCA's reach into unregulated sources of harm.

  • FCA chief executive Nikhil Rathi delivered the speech at the Corporation of the City of London's annual City Dinner on 22 October 2026.
  • Rathi said as much as 8% of banks' workforces are dedicated to combatting financial crime, and called for better outcomes from those resources.
  • The FCA is integrating over 60,000 professional services businesses into its regulatory ambit.
  • New chief operating officer Johan Sekora, formerly of Swedish banks' intelligence sharing efforts, will lead work to look beyond KYC processes toward uncovering actual money laundering.
  • Deputy chief executive Sarah Pritchard will engage firms to streamline duplicative compliance assurance, including a review of the three lines of defence model.
Source document
0:15
FCA FCA Source document ↗
United Kingdom FCA Governance & Accountability ✓ 14 claims 22 Oct 2026

Jarvis Investment Management enters special administration, FCA confirms

The FCA has confirmed that Jarvis Investment Management, a UK wealth manager it authorises, has entered special administration. This briefing sets out the appointment, the FCA's ongoing supervisory role, and what clients with money or custody assets held at the firm need to do next.

  • Jarvis Investment Management Limited (FRN 116413) entered special administration on 14 October 2026.
  • Adam Stephens and Philip Hemming of S&W Partners LLP were appointed as special administrators.
  • Jarvis Investment had agreed a voluntary requirement with the FCA on 16 September 2022 restricting its activities without FCA consent.
  • Clients will be written to within 8 weeks of the appointment explaining how money and assets will be returned and how to claim.
  • The FSCS may cover shortfalls in client money or assets and distribution costs up to £85,000 for eligible clients.
Source document
0:15
FCA FCA Source document ↗
United Kingdom FCA Governance & Accountability ✓ 11 claims 22 Oct 2026

FCA signs lease for new Leeds office, relocating in 2028

A short FCA news update on a property matter rather than a policy change: the regulator has agreed a new long-term office in Leeds. It matters mainly to staff, suppliers and local stakeholders tracking the FCA's regional footprint and its 2030 workforce target.

  • The FCA has signed an agreement for a new office at 2 Wellington Place, Leeds.
  • The new site will provide 36,097 sq ft of space and becomes the FCA's long-term Leeds home from 2028.
  • The FCA's current Leeds office at 6 Queen Street opened in 2022 and has continued to grow since.
  • The move supports the FCA's five-year strategy ambition of 1,000 roles based outside London by 2030.
  • The FCA says it will share more about the new office and plans closer to 2028.
Source document
0:15
FCA FCA Source document ↗
United Kingdom FCA Governance & Accountability ✓ 24 claims 21 Oct 2026

FCA deputy chief says rulemaking has peaked but tokenisation and T+1 deadlines loom

A speech by FCA deputy chief executive Sarah Pritchard to the Investment Association sets out the regulator's claim to be past peak rulemaking while listing an active pipeline including a fund reporting consultation closing this week, a tokenisation roadmap with the Bank of England, and a warning on T+1 settlement readiness. Useful for compliance teams tracking where FCA attention and enforcement discretion are heading next.

  • UK investment fraud losses rose 40% in 2025, Pritchard said, despite the FCA securing more criminal convictions than ever before across fraud, money laundering and insider dealing.
  • The FCA's consultation on streamlining the asset manager rulebook, which it says could save firms £128m per year, is collecting responses until this Thursday.
  • A joint tokenisation roadmap with the Bank of England, setting the path from testing to lasting market infrastructure, is due next month.
  • T+1 settlement goes live in under a year and the FCA said it will act against firms found unprepared.
  • More than a dozen firms were authorised to deliver targeted support within six months of its introduction, with consumers receiving it said to invest up to 53% more than those who do not.
Source document
0:15
FCA FCA Source document ↗
United Kingdom FCA Governance & Accountability ✓ 22 claims 19 Oct 2026

FCA survey of 411 corporate finance firms finds weakest spots in compliance culture

The FCA has published findings from a survey of corporate finance firms' compliance resources, flagged in its Regulatory Priorities Report. Most firms perform core compliance tasks, but the regulator wants to see more independent challenge and better-embedded compliance culture, particularly in small firms and those playing public-markets roles. If you run second-line functions in wholesale advisory firms, this sets the benchmark the FCA will apply when it engages selected firms next.

  • The FCA surveyed 411 corporate finance firms and received 382 responses; 47% reported carrying out all activities covered by the survey.
  • 140 firms reported that regulatory compliance does not form part of staff performance assessments, and 90 reported no whistleblower disclosure arrangements.
  • 82 firms each reported that compliance does not attend management body meetings and does not report at least annually to the management body.
  • 63% of firms reported a compliance function that is not dedicated solely to compliance, and 90% used some form of third-party compliance support.
  • The FCA will engage selected firms further to examine the adequacy and effectiveness of their compliance resources and gaps in practice.
Source document
0:15
FCA FCA Source document ↗
United Kingdom FCA Governance & Accountability ✓ 14 claims 16 Oct 2026

FCA Proposes 90-Day Minimum Notice Period for Illiquid Asset Funds

The FCA has opened a consultation on new redemption rules for authorised funds holding hard-to-sell assets like property and infrastructure. The proposal sets a 90-day minimum notice period for investor withdrawals, intended to prevent the liquidity mismatches that have previously forced fund suspensions. Compliance and product teams at authorised fund managers should review the consultation and consider how a mandatory notice floor would affect existing NURS structures.

  • The FCA is consulting on CP26/35, proposing fair redemption terms for authorised funds investing in illiquid assets.
  • Funds investing in inherently illiquid assets such as property and infrastructure would need to give investors 90 days' notice before redemption.
  • Existing funds would have 2 years to comply and must give investors at least 1 year's notice of the change.
  • The consultation applies to authorised fund managers of non-UCITS retail schemes (NURS).
  • The FCA is asking for feedback on the proposals by 11 December 2026.
Source document