Our thinking

News

Our thinking
Khepri supports Broadwood Capital’s first close of £100 million credit fund backed by Aviva
Khepri supports Broadwood Capital’s first close of £100 million credit fund backed by Aviva
Consumer Duty implementation: good practice and areas for improvement
Consumer Duty implementation: good practice and areas for improvement
Financial Crime Battle Plan: FCA’s Strategies
Financial Crime Battle Plan: FCA’s Strategies
FCA’s Market Watch 76
FCA’s Market Watch 76
Navigating the Financial Promotion Regime
Navigating the Financial Promotion Regime
Understanding IFPR Implementation for Investment Firms
Understanding IFPR Implementation for Investment Firms
FCA publishes SDR and Investment Labels rules
FCA publishes SDR and Investment Labels rules
HM Treasury Updates On Financial Promotion Exemptions
HM Treasury Updates On Financial Promotion Exemptions
Upper Tribunal Dismisses Three FCA Enforcement Actions in 2 months
Upper Tribunal Dismisses Three FCA Enforcement Actions in 2 months
FCA Warns Asset Managers to Review Liquidity Management
FCA Warns Asset Managers to Review Liquidity Management
FCA Responds to Future Big Tech Regulation
FCA Responds to Future Big Tech Regulation
UK-EU Memorandum of Understanding Signed on Financial Services Cooperation
UK-EU Memorandum of Understanding Signed on Financial Services Cooperation
IMF Releases Note on Fintech Supervisory Monitoring
IMF Releases Note on Fintech Supervisory Monitoring
Financial Markets Stability Board Publishes Review of the “3 lines” Risk Management Framework
Financial Markets Stability Board Publishes Review of the “3 lines” Risk Management Framework
HMRC Investigating the ISA Eligibility of Fractional Shares
HMRC Investigating the ISA Eligibility of Fractional Shares
Quarterly Consultation Paper: Updates to High-Risk Investments, MIFIDPRU and ETF Valuation
Quarterly Consultation Paper: Updates to High-Risk Investments, MIFIDPRU and ETF Valuation
Spoofing: Regulators to Clamp Down on “Particularly Harmful” Form of Market Abuse
Spoofing: Regulators to Clamp Down on “Particularly Harmful” Form of Market Abuse
EU Regulatory Framework for Digital Assets
EU Regulatory Framework for Digital Assets
Reminder of Consumer Duty Deadline
Reminder of Consumer Duty Deadline
Telephone and Electronic Recording: Private Device Usage Risks Pandemonium for Firms
Telephone and Electronic Recording: Private Device Usage Risks Pandemonium for Firms
Market Abuse: FCA to Target a Wider Range of Firms for Surveillance Failures
Market Abuse: FCA to Target a Wider Range of Firms for Surveillance Failures
Discussion Paper on Improving the SM&CR
Discussion Paper on Improving the SM&CR
UK Updates to the Regulation of Cryptoassets
UK Updates to the Regulation of Cryptoassets
Updated Regulatory Plans Show Increased Consumer Protections and Accountability for the Financial Services Sector
Updated Regulatory Plans Show Increased Consumer Protections and Accountability for the Financial Services Sector

A to Z Compliance

Our thinking
Khepri's A to Z: Alternative Investment Fund Managers Directive - Buy and Sell-Side Compliance
Khepri's A to Z: Best Execution - Buy and Sell-Side Compliance
Khepri's A to Z: Consumer Duty - Buy and Sell-Side Compliance
Khepri's A to Z: Data Protection - Buy and Sell-Side Compliance
Khepri's A to Z: ESG - Buy and Sell-Side Compliance
Khepri's A to Z: Financial Promotions - Buy and Sell-Side Compliance
Khepri's A to Z: Gifts and Hospitality - Buy and Sell-Side Compliance
Khepri's A to Z: Interests (Conflicts of) - Buy and Sell-Side Compliance
Khepri's A to Z: JMLSG - Buy and Sell-Side Compliance
Khepri's A to Z: Key Information Document - Buy and Sell-Side Compliance
Khepri's A to Z: Licenses - Buy and Sell-Side Compliance
Khepri's A to Z: Market Abuse - Buy and Sell-Side Compliance
Khepri's A to Z: N for National Private Placement Regime (UK) by Michael Booth - Buy and Sell-Side Compliance
Khepri's A to Z: Enhancing Operational Resilience through Strategic Outsourcing - Buy and Sell-Side Compliance
Khepri's A to Z: Enhancing Implementation of the Investment Firms Prudential Regime (IFPR) - Buy and Sell-Side Compliance

Guide

Our thinking
Anti-Money Laundering Issues and Solutions
Top 10 Legal and Compliance Mistakes: Raising and Deploying Capital
Guide: Choosing a Regulatory Host
Regulatory Forward Look 2024
Launching a Fund
Role of the Compliance Function
Making a Direct FCA Application with Khepri
Q&A: Helping You Become an Appointed Representative

Newsletter

Our thinking
Khepri Newsletter #1 December 2024

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