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Cards Wire 12 segments
3:20
FCA FCA Publications Source document ↗
United Kingdom FCA Publications Markets & Infrastructure ✓ 18 claims 02 Nov 2026

FCA flags algo trading, AI and data control gaps in wholesale bank review

The FCA's Autumn 2026 wholesale banks supervision insights sets out crystallised risks drawn from supervisory work and internal audit findings, spanning data management, algorithmic trading, AI governance, financial crime and conflicts of interest. For compliance and risk teams at wholesale banks, it offers a rare look at specific control failures the regulator has observed in practice and its expectations going forward.

  • Wholesale banks should submit cryptoasset variation of permission applications by 28 February 2027 to be assessed or continue activity before the regime starts on 25 October 2027.
  • An algorithm defect caused unintended accumulation of a very significant intraday position after pre-implementation testing failed to consider near-simultaneous fills in different geographic locations.
  • The FCA reviewed 6 wholesale banks' prime brokerage businesses and found limited evidence at some firms of sharing client risk information across surveillance, investigations and KYC functions.
  • A trader manually entered a notional figure in the billions instead of millions due to misunderstanding a platform's denomination convention, and the trade reached clearing before cancellation.
  • The FCA will shortly publish a tokenisation roadmap jointly with the Bank of England and is running a thematic Regulatory Sandbox cohort on climate scenario models from 1 October to 30 November 2026.
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0:15
FCA FCA Publications Source document ↗
United Kingdom FCA Publications Markets & Infrastructure ✓ 21 claims 29 Oct 2026

FCA consults on equity tape income sharing and incident reporting for all CTPs

The FCA has opened CP26/39, proposing how the equity consolidated tape provider must divide income with the venues and other firms that supply its data, and extending enhanced operational incident reporting to all CTPs. It matters to anyone contributing to or building UK equity and bond tapes, with the equity tape due to go live in 2027 or early 2028.

  • The consultation CP26/39 opened on 29 October 2026 and closes on 17 December 2026, with responses feeding into final rules.
  • Handbook rules will govern how the equity CTP's income share is split among data contributors, applying irrespective of the metric and percentage set in the five-year concession agreement.
  • Enhanced operational incident reporting would be extended to all CTPs, building on PS26/2 rules that come into force on 18 March 2027.
  • The FCA expects a Policy Statement on income splitting in spring 2027 and plans for the equity tape to start operating in 2027 or early 2028.
  • A separate Policy Statement on including SI quotes in the equity tape, plus key procurement documents, is planned by early 2027.
Source document
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FCA FCA Publications Source document ↗
United Kingdom FCA Publications Conduct & Consumer ✓ 19 claims 26 Oct 2026

FCA finds friction, not exclusion, in banks' treatment of defence SMEs

The FCA has published findings from a discovery exercise into how defence sector SMEs experience banking services. The review covers retail banks, building societies and some e-money firms, and sets out expectations on risk categorisation, reputational considerations and management information, without creating new rules.

  • The review applies to retail banks, building societies and some payment and electronic money institutions.
  • SMEs are defined as businesses with fewer than 250 employees and turnover not exceeding £44 million or balance sheet total not exceeding £38 million.
  • The FCA has written to firms that provide banking services to SMEs to share these findings and set out its expectations.
  • Firms should expect this publication to be treated as point-in-time and can consider it retired by December 2028 if not removed sooner.
  • The FCA states it will monitor firm responses through supervision and intervene where necessary.
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0:15
FCA FCA Publications Source document ↗
United Kingdom FCA Publications Governance & Accountability ✓ 18 claims 23 Oct 2026

FCA finds governance gaps at benchmark administrators in multi-firm review

This review closes a supervisory programme the FCA began after its 2024 portfolio letter flagged governance weaknesses at benchmark administrators. It sets out observations across five areas, from board composition to assurance, intended to help firms assess their own arrangements rather than prescribe a single model. Compliance and risk teams supporting benchmark administration should read it as a diagnostic checklist.

  • The review is the final part of supervisory work launched after the FCA's 2024 portfolio letter identified governance weaknesses at a number of benchmark administrators.
  • The FCA assessed firms across five areas: board composition and capability, board engagement and challenge, governance structure and escalation, board packs and information flow, and governance assurance.
  • In some cases governance records did not clearly capture board decisions, challenge, decision rationale and resulting actions.
  • The FCA found information and escalation flows between UK regulated entities and wider group governance forums were less developed in some cases.
  • The FCA says it will use the findings to inform supervisory engagement and encourages administrators to engage with the government's ongoing review of the UK Benchmarks Regulation.
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0:15
FCA FCA Publications Source document ↗
United Kingdom FCA Publications Conduct & Consumer ✓ 22 claims 23 Oct 2026

FCA finds private market conflicts controls lagging behind business complexity

The FCA has published detailed findings from its multi-firm review of how private market firms identify, manage and disclose conflicts of interest. It covers asset managers, AIFMs and advisers in private equity, private credit and real estate, and sets out where governance and controls have failed to keep pace with growing business complexity. The regulator expects firms to close gaps and signals targeted follow-up work.

  • The review assessed firms against SYSC 10, COLL 8.5.7, COBS 2.3A.8R, COBS 11.7 and COBS 11.7A, running in two phases: a questionnaire followed by on-site visits.
  • On cross-fund transfers and continuation vehicles weaker frameworks relied more heavily on existing governance, disclosure or investor consent; on gifts and entertainment they relied on policy thresholds and generic approvals; and on information barriers they relied on staff training, judgement and informal safeguards.
  • Only 52% of phase 1 firms said internal audit had a role in reviewing the conflicts framework and its application.
  • The FCA criticised firms whose conflicts frameworks reflected the legal form of UK activities as advisory-only while UK staff were involved in significant, conflict-generating parts of the investment lifecycle.
  • In one case a firm sold a fund asset to an internal fund at NAV rather than pursuing external buyer interest, and could not explain why or how the NAV price served the selling fund.
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0:15
FCA FCA Publications Source document ↗
United Kingdom FCA Publications Financial Crime ✓ 16 claims 23 Oct 2026

FCA consults on Financial Crime Guide updates covering AI, crypto and sanctions

The FCA has opened CP26/38, a consultation on updates to its Financial Crime Guide intended to keep firms' systems and controls aligned with emerging risks. It spans seven areas, from fraud and sanctions to the incoming cryptoasset regime. Anyone supervised for financial crime under the MLRs should read the proposals and respond before the December deadline.

  • The consultation opened 23 October 2026 and closes for responses on 24 December 2026.
  • Proposed changes span seven areas including fraud, sanctions, proliferation financing, data security and money laundering.
  • Crypto-related updates are intended to reflect the new cryptoasset regime arriving from October 2027.
  • The FCA will publish feedback and the final Financial Crime Guide text in a Policy Statement.
  • The FCA is exploring publishing standalone guidance without prior consultation where it is not required, to be consolidated into the Guide later.
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0:15
FCA FCA Publications Source document ↗
United Kingdom FCA Publications Governance & Accountability ✓ 22 claims 22 Oct 2026

FCA proposes scrapping Certification Regime in second phase of SM&CR overhaul

The FCA has opened CP26/37, the second phase of its Senior Managers and Certification Regime review. It proposes removing the Certification Regime, retiring the Directory of certified persons, cutting the number of Senior Management Functions and raising the thresholds for the Enhanced regime. The consultation closes on 22 January 2027, with final rules expected in the first half of that year.

  • The consultation opened on 22 October 2026 and closes on 22 January 2027, with final rules expected in the first half of 2027.
  • The FCA proposes removing the Certification Regime and retiring its Directory of certified and assessed persons.
  • Certain Senior Management Functions would be removed and other roles made notified, while Enhanced regime thresholds would be raised.
  • Firms would no longer make ongoing submissions of Statements of Responsibilities and Management Responsibilities Maps, and Conduct Rule breach reporting thresholds would rise.
  • The regime binds all firms currently in scope, including third-country branches, and firms due to enter scope such as cryptoasset firms.
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0:15
FCA FCA Publications Source document ↗
United Kingdom FCA Publications Conduct & Consumer ✓ 12 claims 22 Oct 2026

FCA sets 2027 timetable for retail investment rule changes

The FCA has published feedback to DP25/3, its discussion paper on expanding consumer access to investments, and set out the next phase of work. This matters to platforms, advisers and product providers because it signals which reforms are prioritised and on what timetable, ahead of formal rule changes.

  • The discussion paper DP25/3 was open for feedback from 8 December 2025 to 6 March 2026, with the feedback statement published 16 October 2026.
  • The FCA will review financial promotion rules for high-risk investments to check whether products with similar risks are treated consistently.
  • The FCA plans to consult in early 2027 on changes to rules and guidance on risk information for mainstream investments.
  • A review of the appropriateness assessment, including the impact of the current model and alternatives, will involve stakeholder engagement in 2027.
  • A multi-firm review of model portfolio services has begun, with findings expected by the first quarter of 2027.
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0:15
FCA FCA Publications Source document ↗
United Kingdom FCA Publications Digital Assets ✓ 15 claims 21 Oct 2026

FCA consults on DeFi guidance for operational resilience and financial crime risk

The FCA has opened a consultation on non-Handbook guidance for firms offering financial services via decentralised finance, covering operational resilience and financial crime risk including Money Laundering Regulations compliance. It sits alongside a separate cryptoasset perimeter consultation and should be read by any regulated firm already engaging with DeFi protocols or planning to.

  • The guidance consultation GC26/7 opened on 21 October 2026 and closes on 18 November 2026.
  • It applies to firms in scope of SYSC 15A on operational resilience, SYSC 6 on financial crime, or subject to the Money Laundering Regulations.
  • The FCA says it plans to publish final guidance in January 2027.
  • From 25 October 2027, the Financial Services and Markets Act 2000 (Cryptoassets) Regulations 2026 will bring new cryptoasset activities into the FCA's regulatory perimeter.
  • Firms are told to read the consultation alongside CP26/36 on Cryptoasset Perimeter Guidance and the FCA's wider cryptoasset and operational resilience publications.
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0:15
FCA FCA Publications Source document ↗
United Kingdom FCA Publications Digital Assets ✓ 19 claims 21 Oct 2026

FCA consults on new crypto perimeter exclusions, offers forbearance to firms caught by late SI

The FCA is consulting on guidance clarifying a fresh set of exclusions from the UK's incoming cryptoasset regime. The additions arrived through a late statutory instrument, creating authorisation uncertainty for some firms. If your business model sits near settlement, stablecoin backing, proprietary trading or technical access services, this consultation determines whether you need FCA permission at all before 25 October 2027.

  • The consultation closes on 18 November 2026, with final guidance planned for January 2027 and the regime commencing 25 October 2027.
  • New exclusions cover temporary settlement arrangements, stablecoin backing assets, proprietary trading not provided as a service or market making on a QCATP, and technical services giving access to third-party or decentralised protocols.
  • Firms materially affected by uncertainty over the technical services provider exclusion will be given additional time to complete the arranging permission aspects of an otherwise complete application.
  • The application period for existing UK crypto firms seeking new regulated activities opened 30 September 2026 and closes 28 February 2027; firms must apply within this window to use the savings provision.
  • The guidance also addresses central securities depositaries, including third-country CSDs, with safeguarding arrangements involving cryptoassets.
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0:15
FCA FCA Publications Source document ↗
United Kingdom FCA Publications Conduct & Consumer ✓ 20 claims 19 Oct 2026

FCA consults on minimum redemption terms for retail funds holding illiquid assets

The FCA has opened CP26/35, proposing that retail funds investing in illiquid assets such as real estate align their redemption terms with the time it actually takes to sell what they hold. It runs to 11 December 2026, with final rules expected in H1 2027. Anyone running, distributing or wrapping NURS funds in scope should read how the proposals reshape the FIIA regime.

  • The consultation proposes minimum redemption terms for NURS invested mainly in inherently illiquid assets, so terms reflect the time taken to sell them.
  • Scope captures NURS funds with at least 50% of scheme property in inherently illiquid assets, plus other NURS with limited redemption arrangements.
  • The proposals amend the Funds Investing in Inherently Illiquid Assets (FIIA) regime and bind all Authorised Fund Managers.
  • Responses are due by 11 December 2026, with final rules expected in H1 2027.
  • Distributors, advisers, SIPP operators, depositaries and unit-linked life product providers referencing relevant NURS are also in scope.
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FCA FCA Publications Source document ↗
United Kingdom FCA Publications Prudential & Capital ✓ 16 claims 14 Oct 2026

FCA and PRA lift 15% cap on individual lenders' high-LTI mortgage lending

The FCA and PRA have jointly recalibrated how the FPC's loan-to-income flow limit is enforced. Individual mortgage lenders may now push their share of high-LTI lending above 15%, provided the market-wide flow stays consistent with that limit. This item covers who the new guidance binds, how the aggregate flow will be measured and published quarterly, and where the supervisory attention now falls.

  • Individual lenders may now exceed a 15% share of high-LTI lending, with the 15% limit instead applied to aggregate market flow.
  • FG26/11 replaces FG14/8 (2014), revised by FG17/2 (2017) and FG25/4 (July 2025); PRA amended its Rulebook and issued a new supervisory statement.
  • PRA and FCA will calculate aggregate high-LTI flow quarterly; PRA publishes the figure with completed mortgage volumes and share.
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