Prudential requirements—non-systemically important investment firms

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The UK investment firms prudential regime (IFPR)

Non-systemically important investment firms are prudentially regulated by the Financial Conduct Authority

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FCA publishes multi-firm review findings on consolidation in financial advice and wealth management sector

The Financial Conduct Authority (FCA) has published findings from a multi-firm review (MFR) examining consolidation trends in the financial advice and wealth management sector. The review, which focused on firms acquiring and integrating financial advice businesses, highlights how consolidation is reshaping the market and identifies both good practices and emerging risks. The FCA notes that while consolidation can improve efficiency, governance and resilience, unmanaged rapid growth may lead to poor client outcomes and operational risks. The findings are intended to support sustainable growth by clarifying existing expectations and helping firms assess their risk management and group structures in line with the Consumer Duty and market integrity.

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FCA updates Primary Market Bulletin No. 58 to correct errors in draft guidance notes

The Financial Conduct Authority (FCA) has updated GC25/3: Primary Market Bulletin No. 58 following the identification of clerical errors in certain draft guidance notes released as part of its consultation on proposed changes to the Knowledge Base. The corrections relate to Draft Procedural Notes 903 and 908 and Technical Notes 305, 321, 522, 623, 626, 629 and 635, which displayed incorrect blackline deletions unrelated to proposed amendments. Updated versions correcting these blackline errors have been published and must be used for the consultation closing 21 November 2025. In addition, errors were found in Technical Note 602.5, including the omission of a heading deletion and a missing phrase in section (b), as well as a typographical error in section (d). An updated version of TN 602.5 has also been released for the consultation ending 5 December 2025. The FCA apologises for these initial publication errors and confirms that the corrected documents are now accessible via the updated links.

FCA publishes Handbook Notice No 134

The Financial Conduct Authority (FCA) has published Handbook Notice No 134 which includes changes to the FCA Handbook and other material made by the FCA Board on 2 October 2025.

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