RegTech and SM&CR: Automating Senior Manager Accountability in a Post-FCA Crackdown Era
In an era of heightened regulatory scrutiny, the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have ramped up enforcement under the Senior Managers and Certification Regime (SM&CR), with fines surging dramatically. As the regime evolves through ongoing reviews, RegTech solutions are emerging as game-changers. These technologies promise to streamline compliance, reduce burdens, and shield firms from penalties.
Breaking the Compliance Bottleneck: How Regulatory Hosting Is Reshaping UK Market Entry
Times are changing, technology keeps on growing, and regulators are getting stricter. Launching a financial services business in the UK presents a host of regulatory challenges, particularly for smaller firms and non-UK entities. Gaining direct authorisation from the Financial Conduct Authority (FCA) can be a time-consuming, resource-heavy process.
The Future of Compliance: Reinventing KYC & AML in the UK
The FCA has amplified its enforcement activity and global AML software spending is surging. At the same time, £88 billion is now laundered through the UK annually, reinforcing the need to modernise KYC/AML systems—or risk falling behind and facing reputation damage
Leading Through Regulation: UK Crypto in 2025 and Beyond
With 12% of UK adults now holding cryptoassets, the UK has emerged as a global leader in digital asset adoption. But with growth comes responsibility—and regulation. HM Treasury’s draft legislation and the FCA’s latest consultation papers mark a turning point, setting the stage for a fully regulated crypto sector by 2026.
The UK Snoopers Charter: A Silent Erosion of Privacy
When Facebook, MySpace, and Twitter exploded onto the scene in the late 2000s, we eagerly embraced social media, believing it to be a harmless space to share our lives. But, as with everything, there was a hidden cost: our privacy.
Why ROPA Alone Isn’t Enough Under GDPR: The Critical Role of Regular Compliance Monitoring
If you’re a small or medium-sized business navigating GDPR compliance, your starting point should always be the seven core GDPR principles. Each is crucial, but one underpins them all—the principle of accountability…
Online Training vs. Traditional Learning: Why Compliance Teams are Going Digital
Training is a critical component of compliance in financial services, ensuring employees remain up to date with ever-changing regulations. Traditionally, compliance training was conducted in-person, with seminars and workshops. However, the rise of online training, especially since COVID-19, has transformed how firms deliver compliance education.
Simplifying compliance thanks to RegTech
In this interview with Challenges, Manon Anglade, Director of Leo RegTech France, highlights the regulatory challenges and how our SaaS solution…
Leo RegTech Joins Prestigious 2025 RegTech100 List
Leo RegTech is proud to announce its inclusion in the 2025 RegTech100 ranking, a globally acclaimed list recognising the most innovative and disruptive companies in regulatory technology.
LETFs: The Trojan Horse to the everyday Investor
Mis-selling of ETFs is damaging and illegal, but the mis-selling of Leveraged ETFs (LTEFs) has the potential to be far more catastrophic.
