Regulatory intelligence

Updated guidance on inducements and third-party payments

Lowers the threshold for what must be recorded and widens “inducement” to cover paid travel to industry events.

Personal account dealing — clarified pre-clearance expectations

Regulator expects pre-clearance records to show the time of approval, not only the date.

Marketing rules for professional investors — amendments in force 1 January

Changes the wording required alongside performance figures and forward-looking statements.

Consultation on AI use in investment firms

Proposes expectations around explainability, human oversight and record-keeping for AI-assisted decisions.