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Regulatory and Conduct news November 2026

A round-up of regulatory news items

Regulation & Conduct News

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October 2026
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Disciplinary Update 2026, Issue 7
  • 03 Nov 2026
Read the findings identified in recent disciplinary cases and ensure you or your firm are not making similar mistakes.
Three common compliance issues and how to avoid them
  • 03 Nov 2026
The Practice Assurance Committee is asking firms to take a close look at three recurring issues it is currently seeing: communication of fees and complaints procedures, accurate and timely completion of annual returns, and cooperation with monitoring visits. Firms are encouraged to check their processes now, as failing to meet these requirements can result in regulatory action.
SARs Reporter Booklet: October 2026
  • 03 Nov 2026

The UK Financial Intelligence Unit (UKFIU) has published its October SARs Reporter Booklet. It provides a sanitised summary of feedback from law enforcement agencies, highlighting how they use Suspicious Activity Reports (SARs) to support their work.

Minor updates to ICAEW’s CPD Regulations
  • 02 Nov 2026
ICAEW has updated its Continuing Professional Development (CPD) Regulations. The changes are limited in scope and are expected to have minimal impact on members and firms as they principally clarify existing requirements, formalise concessions already set out in guidance and update terminology.
Crossing the Line case study: bringing ethical dilemmas to life
  • 01 Nov 2026
In this case study, we look at how Just Audit used Crossing the Line to support its audit team’s ongoing ethics training by drawing out the key ethical dilemmas depicted in the film.
Displaying 1-5 of 5 results
October 2026
Useful links

Please make use of the following resources to ensure you are up to date with the latest regulatory information and news: