Teaming up with... AVIVA

Welcome to the UKGI weekly regulation update service for Aviva ABC brokers

We hope you find the Updates useful. If you are
interested in subscribing to our affordable
ABC compliance support package, please
email us at ABC@ukgigroup.com or
call UKGI on our dedicated ABC
contact line 01925 767893.

Archive

Edwin Coe publishes article on D&O Insurance

Link(s):  D&O Insurance - why it can make the difference Context Edwin Coe has published an article for insolvency practitioners, on the position where a firm becomes insolvent, and not to overlook whether D&O cover is in place. The article suggests...

read more

Companies House updates six web pages

Link(s):  Using software to file your company's information - GOV.UKChange the details of a UK establishment of an overseas company (OS CH01) - GOV.UKCompany authentication codes for online filing - GOV.UKOverseas companies in the UK: registration and filing...

read more

FCA publishes Handbook Notice 144

Link(s):  Handbook Notice 144CP26/17: Quarterly consultation paper No. 52 Context The FCA has published its latest Handbook Notice covering certain changes to the Supervision sourcebook in relation to the Baseline Financial Resilience return (FIN073). Key...

read more

FCA secures bankruptcy order against Arthur Temlett

Link(s):  FCA secures bankruptcy order against Arthur Temlett | FCAFinancial Conduct Authority places restrictions on Arthur Temlett | FCA Context The FCA has asked the Court to make Arthur Temlett, trading as Abacus Insurance Consultants ('Abacus'),...

read more

Companies House warns Directors to verify identity

Link(s):  Directors warned to verify identities with Companies House following first Insolvency Service prosecutions - GOV.UK Context Companies House has warned Directors to verify their identities following the first Insolvency Service prosecutions.  The...

read more

FCA updates its Consumer Duty focus areas web page

Link(s):  Our Consumer Duty focus areas | FCA Context The FCA has updated its Consumer Duty focus areas web page to include links to pieces of work that it has published, and further details on existing updated priorities. Key points to note and next actions...

read more

FCA speech: “Financial crime: protecting the hive”

Link(s):  Financial crime: protecting the hive | FCA Context The FCA has published a speech given by Steve Smart, FCA Executive Director of Enforcement and Market Oversight, at the Law Society Economic Crime Conference 2026.  The speech draws upon the...

read more

IoD co-publishes Crisis Communication Handbook for Boards

Link(s):  Chartered Institute of Public Relations and Institute of Directors publish Crisis Communication Handbook for Boards | IoDCrisis Communication for Boards Context The Chartered Institute of Public Relations and Institute of Directors have jointly...

read more

FCA bans former law firm owner from financial services

Link(s):  Financial regulator bans former law firm owner from financial services | FCAFinal Notice 2026: Nurul Miah Context The FCA has announced that it has banned Nurul Miah, also known as Neil Mia and Neil Miah, from working in financial services.  The...

read more

FCA removes insurance distribution firm’s Permissions

Link(s):  Final Notice 2026: Professional Liability Network Context The FCA has published a Final Notice cancelling Professional Liability Network’s Permission to carry out regulated activities.  The FCA stated that the firm has not been replying to...

read more

FOS urges couples to check their wedding insurance  

Link(s):  Financial Ombudsman Service urges couples to say "I do" to checking their wedding insurance – Financial Ombudsman service Context With venues being booked, suppliers being secured and deposits being paid months, or even years, before the big day,...

read more

NCSC: Managing the cyber risk of agentic AI

Link(s):   Managing the cyber risk of agentic AI | National Cyber Security Centre Context The blog explains that agentic AI can bring major productivity benefits, such as automating complex workflows and freeing people for higher-value work, however...

read more

FCA publishes its 2026 Q2 Whistleblowing quarterly data

Link(s):  Whistleblowing quarterly data 2026 Q2 | FCA Context The latest FCA quarterly whistleblowing data shows the number of new whistleblowing reports the FCA received between April and June 2026, and existing reports closed during this period.  The data...

read more

FCA announces longer RegData operating hours

Link(s):  Regulation round-up - August 2026 Context As part of its August Regulatory Round-Up communication, the FCA has reminded firms that, from 17 September 2026, RegData will operate every day from 7am until midnight, including weekends and bank...

read more

FCA fines and bans former SVS Securities CEO

Link(s):  FCA fines and bans former SVS Securities CEO | FCAFinal Notice 2026: Demetrios Christos Hadjigeorgiou Decision Notice 2024: Demetrios Christos Hadjigeorgiou FCA takes action against three individuals from SVS Securities for mistreatment of pension...

read more

FCA bans senior manager for lack of honesty and integrity

Link(s):  FCA bans senior manager for lack of honesty and integrity | FCAFinal Notice 2026: Howard Roland Duckett Context The FCA has banned a Senior Manager, Howard Roland Duckett, from working in financial services due to a serious lack of honesty and...

read more

FCA bans CEO and MD for false and misleading statements

Link(s):  CEO banned for false and misleading statements made in attempt to buy bank and football club | FCAFinal Notice 2026: Paul Vincent TaylorFinal Notice 2026: Esmeralda Toni Context The FCA has banned and fined the former CEO and MD of Blue Horizon...

read more

ICO offers new, free data protection training for SMEs

Link(s):  Boost your business fitness - ICO offers new, free data protection training for SMEs | ICOData Protection Essentials | ICO Advice for small and medium organisations | ICO Context Small and medium sized organisations (SMEs), and sole traders, across...

read more

FOS outlines next phase of service reforms

Link(s):  Financial Ombudsman outlines next phase of service reforms – Financial Ombudsman serviceModernising the Redress System: policy statement Context FOS has outlined in an insights article the next phase of its reforms, which are set out in a FOS...

read more

FOS publishes its latest Ombudsman News e-mail

Link(s):  Ombudsman News Quarterly complaints data: Q1 2026/27 – Financial Ombudsman service Annual reports and accounts – Financial Ombudsman service Deferred payment credit and BNPL – Financial Ombudsman service Context FOS has issued its latest Ombudsman...

read more

FCA publishes a Warning Notice Statement

Link(s):  Warning Notice Statement 26/5 Context The FCA has published details of a Warning Notice which sets out actions it is proposing to take in respect of the conduct summarised within the statement. At the relevant time, ‘Individual A’ was approved to...

read more

FCA publishes Handbook Notice 143

Link(s):  Handbook Notice 143 Context The FCA has published Handbook Notice 143, in which it has included details about Handbook updates in relation to Periodic and other fees for 2026/27, and Enforcement Guide updated relating to the Digital Markets,...

read more

FCA issues a Final Notice for Mr Dharmendra Devji Solanki

Link(s):  Final Notice 2026: Mr Dharmendra Devji Solanki Context The FCA has decided to make an order prohibiting Dharmendra Devji Solanki (“Mr Solanki”) from performing any function in relation to any regulated activity carried on by an authorised person,...

read more

CMA updates its Unfair Contract Terms guidance

Link(s):  Refreshing our guidance on unfair contract terms - GOV.UKSummary of responses to the consultationUnfair contract terms - GOV.UK Unfair contract termsWriting a fair contract for customers - GOV.UK Context Following a Consultation about updating its...

read more

PRA announces it has fined insurer HDI Global £4.2m

Link(s):  PRA fines HDI Global SE £4,165,000 for inaccurate reporting of FSCS Liabilities and FSCS Fee Tariff data | Bank of England Context The Bank of England and PRA have announced that the insurer HDI Global has been fined £4.165m in connection with the...

read more

FCA publishes its Q2, Q3 and Q4 2025/26 Attestations data

Link(s):  Attestations | FCANumber of Attestations requested in 2025/26 Q2 (1 July 2025 – 30 September 2025)Number of Attestations requested in 2025/26 Q3 (1 October 2025 – 31 December 2025)Number of Attestations requested in 2025/26 Q4 (1 January 2026 – 31...

read more