11 December 2025
Our thematic review looked at how firms and compliance officers approached their roles and responsibilities.
11 December 2025
To better understand the growth strategies adopted by firms, we met firms and individuals involved in the acquisition/sale process and firms adopting a consultant growth model
5 November 2025
This report details our findings from a review of how regulated firms are complying with source of funds/wealth requirements.
30 October 2025
This past year has been marked by significant progress in our efforts to prevent and detect money laundering, as we continue to prioritise anti-money laundering (AML) initiatives.
30 October 2025
This past year has been marked by significant progress in our efforts to prevent and detect money laundering, as we continue to prioritise anti-money laundering (AML) initiatives.
14 October 2025
We set out in our 2024/25 Business Plan that we would review and update our requirements for first-tier complaints.
19 September 2025
This report summarises our quality assurance activity in relation to the Legal Practice Course (LPC) route to qualification. This route usually involves obtaining a qualifying law degree or Common Practice Examination, an LPC and a period of recognised training.
22 August 2025
This report explains the findings of our thematic review into the work of firms and solicitors acting for individuals bringing volume consumer claims.
