Weekly Roundup

Your weekly regulatory intelligence briefing

Coverage 12 Jan 2026 — 18 Jan 2026Generated 18 Jan 2026299 updates analysed10 priority items surfacedSampling window 7 days

Executive Summary

Key insights and highlights from this week's regulatory landscape

Weekly Regulatory Roundup

Executive Summary

299 regulatory developments analysed

Coverage 12 Jan 2026 — 18 Jan 2026
Published 18 Jan 2026, 04:12
Updates monitored 299 Tracked this cycle
High-impact notices 13 Require immediate review
Urgent signals 9 Flagged for rapid follow-up
Active authorities 6 Issuing updates this week
Spotlight Signals

What needs your attention first

  • 01
    FCA FCA highlights good practice and risks in complex ETPs for retail investors 12 Jan 2026
  • 02
    ESMA Principles for risk-based supervision: a critical pillar for ESMA’s simplification and burden reduction efforts 12 Jan 2026
  • 03
    Bank of England Sam Woods, David Bailey, Antony Jenkins and Marjorie Ngwenya: Treasury Select Committee hearing on the work of the Prudential Regulation Authority 16 Jan 2026

Executive Brief: Regulatory Developments and Implications

Executive Summary:

The current week's regulatory updates highlight significant developments in the financial sector, with a focus on compliance, risk, and governance. Key regulatory bodies, including the Financial Conduct Authority (FCA), Bank of England, and HM Government, have issued updates that require attention from compliance leadership.

Critical Actions Required:

  • Review and update compliance policies and procedures in light of the recent FCA fine for insider dealing and the SFO's convictions for £70 million investment fraud.
  • Monitor and assess the impact of the UK's 100 Year Partnership with Ukraine on financial sector regulations and potential risks.
  • Develop a plan to address the risks associated with the use of AI-generated content, as highlighted by the Technology Secretary's statement on xAI's Grok tool.

Key Regulatory Developments:

Significant Regulatory Developments:

  • FCA fines oil rig consultant £309,843 for insider dealing (Impact Level: Significant, Urgency: High)
  • SFO secures three convictions for £70 million investment fraud (Impact Level: Significant, Urgency: High)
  • Sam Woods, David Bailey, Antony Jenkins, and Marjorie Ngwenya: Treasury Select Committee hearing on the work of the Prudential Regulation Authority (Impact Level: Significant, Urgency: High)

Moderate Regulatory Developments:

  • Stronger parental leave rights to give millions of working families the “security they deserve” (Impact Level: Moderate, Urgency: Medium)
  • Preston guidance: December 2025 (Impact Level: Moderate, Urgency: Medium)
  • Guidance: Preston guidance: November 2025 (Impact Level: Moderate, Urgency: Medium)

Informational Regulatory Developments:

  • Government customer services to be modernised with help of industry experts (Impact Level: Informational, Urgency: Low)
  • Speech for UN-Association 80th anniversary of United Nations General Assembly meeting (Impact Level: Informational, Urgency: Low)
  • Logic Investments Ltd enters special administration (Impact Level: Informational, Urgency: Low)

Business Implications:

The recent regulatory updates highlight the importance of maintaining a strong compliance culture, monitoring regulatory developments, and addressing potential risks associated with emerging technologies. Compliance leadership should review and update policies and procedures to ensure alignment with regulatory requirements and best practices.

Recommended Next Steps:

  1. Review and update compliance policies and procedures in light of recent regulatory updates (High Priority)
  2. Develop a plan to address the risks associated with the use of AI-generated content (Medium Priority)
  3. Monitor and assess the impact of the UK's 100 Year Partnership with Ukraine on financial sector regulations and potential risks (Medium Priority)
  4. Provide training and awareness programs for employees on compliance and regulatory requirements (Low Priority)

Week's Narrative

In-depth analysis of regulatory developments and their implications

Why This Week Matters

This week's regulatory updates offer a glimpse into the evolving landscape of global financial services, with key developments in areas such as product innovation, customer services, and regulatory oversight. As senior compliance executives, it's essential to stay informed about these updates and their potential impact on your organization.

The Big Picture

At the heart of this week's updates is a growing emphasis on innovation, customer experience, and regulatory compliance. The government's initiative to modernize customer services, as seen in the launch of CustomerFirst, highlights the importance of user-centric approaches in the financial sector. Meanwhile, the Bank of England's product innovation research in the UK mortgage market underscores the need for forward-thinking strategies in an increasingly complex regulatory environment.

What Changed Since Last Week

Last week's updates focused on stronger parental leave rights and guidance on Preston factors. In contrast, this week's updates highlight regulatory actions, such as the FCA's fines for insider dealing and the SFO's convictions for £70 million investment fraud. These developments demonstrate the ongoing efforts of regulatory bodies to address misconduct and maintain market integrity.

Key Storylines

The Treasury Select Committee's hearing on the work of the Prudential Regulation Authority (PRA) sheds light on the PRA's efforts to ensure financial stability in the UK. Witnesses, including Sam Woods and David Bailey, provided insights into the PRA's work and the ongoing challenges in the financial sector. This development underscores the importance of close collaboration between regulatory bodies and industry stakeholders in maintaining a stable financial system.

The FCA's fines for insider dealing and the SFO's convictions for £70 million investment fraud demonstrate the ongoing efforts of regulatory bodies to address misconduct and maintain market integrity. These developments serve as a reminder of the importance of robust compliance frameworks and ongoing monitoring in the financial sector.

The launch of CustomerFirst, a new unit within the Department for Science, Innovation and Technology, aims to modernize public services and improve the experience for millions of people. This initiative highlights the importance of user-centric approaches in the financial sector and demonstrates the government's commitment to innovation and customer experience.

Looking Ahead

As the financial sector continues to evolve, regulatory bodies will remain vigilant in addressing misconduct and maintaining market integrity. Senior compliance executives must stay informed about these updates and their potential impact on their organization. In the coming weeks, expect further developments in areas such as product innovation, customer experience, and regulatory compliance. By staying ahead of these trends, organizations can position themselves for success in an increasingly complex regulatory environment.

Key Updates

Important regulatory announcements requiring attention

FCA Strategic signal
12 Jan 2026

FCA highlights good practice and risks in complex ETPs for retail investors

We reviewed how firms sell complex exchange traded products (ETPs) to retail consumers. Complex ETPs are a subset of the wider ETP market and include high-risk investment strategies that can be difficult for retail consumers to understand.We assessed how firms of different sizes and business models evaluate these products, communicate key risks and monitor outcomes under the Consumer Duty.Given t…

Significant Investment ManagementWealth Management
Bank of England Enforcement action
15 Jan 2026

PRA to streamline supervision as part of 2026 priorities

The Prudential Regulation Authority (PRA) has today published its supervisory priorities for 2026, outlining in a letter its sector-specific priorities for the coming year to all banks, building societies, insurers and other PRA-regulated firms.

Significant General Regulation
ESMA Enforcement action
14 Jan 2026

The European Supervisory Authorities and UK financial regulators sign Memorandum of Understanding on oversight of critical ICT third-party service providers under DORA

The European Supervisory Authorities and UK financial regulators sign Memorandum of Understanding on oversight of critical ICT third-party service providers under DORA 14 January 2026 Digital Finance and Innovation International cooperation The European Supervisory Authorities (…

Significant General Regulation
EIOPA Strategic signal
14 Jan 2026

European Supervisory Authorities and UK financial regulators sign Memorandum of Understanding on oversight of critical ICT third-party service providers under DORA

Significant regulatory development requiring attention: European Supervisory Authorities and UK financial regulators sign Memorandum of Understanding on oversight of critical ICT third-party service providers under DORA The European Supervisory Authorities...

Significant General Regulation
DBT Strategic signal
14 Jan 2026

Guidance: Agents for professional sports persons

Guidance to agents for professional sports persons to comply with the Employment Agencies Act 1973 (the act) and Conduct of Employment Agencies and Employment Businesses Regulations 2003 (the conduct regulations).

Significant General Regulation
EBA Enforcement action
14 Jan 2026

The European Supervisory Authorities and UK financial regulators sign Memorandum of Understanding on oversight of critical ICT third-party service providers under DORA

The European Supervisory Authorities (EBA, EIOPA and ESMA – the ESAs) have today signed a Memorandum of Understanding (MoU) with the Bank of England (BoE), the Prudential Regulation Authority (PRA), and the Financial Conduct Authority (FCA). This agreement enhances the cooperati…

Significant General Regulation