Our September 2025 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took place during the last two months in the UK, the EU and the US.
This month we cover the following:
- UK
- Extending accountability: FCA’s new rules on Non-Financial Misconduct and their impact on smaller asset managers
- UK government and regulators review the Senior Managers & Certification Regime
- FCA sets faster targets for authorisations; FCA letter to the Chancellor: KPIs and metrics for authorisations processes
- Market Watch 82
- Anti-money laundering and Counter terrorist financing round-up:
- Improving the effectiveness of the Money Laundering Regulations
- National risk assessment of money laundering and terrorist financing 2025
- Money Laundering Advisory Notice: High Risk Third Countries
- Two banks fined for financial crime control failings:
- Monzo Bank Limited
- Barclays Bank
- UK Enforcement Round-up:
- FCA publishes enforcement data for 2024/25
- FCA fines Sigma Broking Limited for transaction reporting failures
- FCA issues fines of nearly £46m for failures managing the Woodford Equity Income Fund
- FCA acts over alleged £23 million unauthorised collective investment scheme
- H2O Deputy CEO fined £1m and banned from financial services for deliberately misleading the FCA
- End of the road – Final Notice 2025: James Edward Staley
- Alleged rate-rigging; FCA drops proceedings against Tom Hayes and revokes Carlo Palombo’s prohibition
- Redinel Korfuzi and Oerta Korfuzi sentenced to combined 11 years for £1m insider dealing and money laundering
- Tribunal upholds the FCA’s market manipulation bans
- EU
- ESMA Newsletter: Spotlight on Markets – June and July 2025
- US
- FinCEN announces postponement and reopening of investment adviser rule
- SEC launches AI Task Force to drive innovation and efficiency
- SEC names Meg Ryan as Director of the Division of Enforcement
- SEC charges New York-based investment adviser with breaching fiduciary duty by overcharging management fees to private funds
- SEC charges portfolio manager over private fund investments in fraudulent scheme
- NFA bars commodity pool operator / trading advisor and principal from future membership
- Federal Court orders over $3.4m penalty in forex fraud case
- Key upcoming dates and deadlines
Click below to view and download our September 2025 Newsletter:
September 2025 Monthly Regulatory Newsletter
Click for further blogs on the latest regulatory developments.
Our September 2025 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took during the last two months in the US, the UK and the EU.
This month we cover the following:
- US
- FinCEN announces postponement and reopening of investment adviser rule
- SEC launches AI Task Force to drive innovation and efficiency
- SEC names Meg Ryan as Director of the Division of Enforcement
- SEC charges New York-based investment adviser with breaching fiduciary duty by overcharging management fees to private funds
- SEC charges portfolio manager over private fund investments in fraudulent scheme
- NFA bars commodity pool operator / trading advisor and principal from future membership
- Federal Court orders over $3.4m penalty in forex fraud case
- UK
- Extending accountability: FCA’s new rules on Non-Financial Misconduct and their impact on smaller asset managers
- UK government and regulators review the Senior Managers & Certification Regime
- FCA sets faster targets for authorisations; FCA letter to the Chancellor: KPIs and metrics for authorisations processes
- Market Watch 82
- Anti-money laundering and Counter terrorist financing round-up:
- Improving the effectiveness of the Money Laundering Regulations
- National risk assessment of money laundering and terrorist financing 2025
- Money Laundering Advisory Notice: High Risk Third Countries
- Two banks fined for financial crime control failings:
- Monzo Bank Limited
- Barclays Bank
- UK Enforcement Round-up:
- FCA publishes enforcement data for 2024/25
- FCA fines Sigma Broking Limited for transaction reporting failures
- FCA issues fines of nearly £46m for failures managing the Woodford Equity Income Fund
- FCA acts over alleged £23 million unauthorised collective investment scheme
- H2O Deputy CEO fined £1m and banned from financial services for deliberately misleading the FCA
- End of the road – Final Notice 2025: James Edward Staley
- Alleged rate-rigging; FCA drops proceedings against Tom Hayes and revokes Carlo Palombo’s prohibition
- Redinel Korfuzi and Oerta Korfuzi sentenced to combined 11 years for £1m insider dealing and money laundering
- Tribunal upholds the FCA’s market manipulation bans
- EU
- ESMA Newsletter: Spotlight on Markets – June and July 2025
- Key upcoming dates and deadlines
Click below to view and download our September 2025 Newsletter:
September 2025 Monthly Regulatory Newsletter
Click for further blogs on the latest regulatory developments.
