Monthly Regulatory Newsletter - January 2026
By: Wayne Merris, RQC Group
Published: 2026-01-12 · Read time: 2 min · Category: Regulatory
Our January 2026 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took place during the last month in the UK, the EU and the US.
RQC Group's January 2026 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took place during the last month in the UK, the EU and the US.
This month's edition covers the following:
- 2026 Preview
- Updating the client categorisation regime
- FCA confirms final guidance to tackle serious non-financial misconduct in financial services
- Provisional licences: "learner plates" on the road to FCA authorisation in 2026
- Supporting informed decision making: Final rules for Consumer Composite Investments
- Statement on firms working together to manufacture products or services
- Enhancing fund liquidity risk management
- FCA consults on reducing late fees for regulatory returns
- Securities and Exchange Commission issues additional observations on Advisers Act Marketing Rule compliance
- CFTC no-action letter regarding CPO registration for certain SEC registered investment advisers
- SEC delays short position and securities lending reporting requirements
- National Futures Association orders Delaware-based firm to withdraw from, and not reapply for, NFA membership
- Key upcoming dates and deadlines.
Click below to view and download the January 2026 Newsletter:
January 2026 Monthly Regulatory Newsletter (UK)
January 2026 Monthly Regulatory Newsletter (US)
Click for further blogs on the latest regulatory developments.