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Regulatory and Conduct news November 2025

A round-up of regulatory news items

Regulation and Conduct News

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October 2025 December 2025
Displaying 1-10 of 11 results
New SARs best practice guidance
  • Helpsheets and support
  • 27 Nov 2025

In November 2025, the UKFIU published updated guidance relating to Suspicious Activity Reporting (SAR). It pertains to using the SAR portal, submitting a SAR and understanding DAMLs and DATFs. Find out what you need to know to stay current with the latest requirements. 

INSSight: The Insolvency Service’s internal case management system explained
  • Helpsheets and support
  • 27 Nov 2025
The Insolvency Service has introduced a case management system (INSSight) to better integrate with insolvency practitioners’ internal and external systems, automate repetitive tasks and reduce manual data entry. Find out what it entails, including what templates to use.
Disciplinary update: November 2025
  • Newsletter
  • 25 Nov 2025
Take note of the latest disciplinary cases to ensure you or your firm are not making similar mistakes.
Duplicate firms appearing on Companies House
  • Article
  • 17 Nov 2025

Ahead of Companies House ID verification coming in for new directors, several companies seemingly posing as existing firms have incorporated in recent weeks.

Audit monitoring insights webinar recording: Ethical standard
  • Webinar
  • 17 Nov 2025

The last webinar in our audit monitoring insights series focusing on ethical standard is now available on demand.

Regulation and Conduct News November 2025
  • Newsletter
  • 10 Nov 2025
We share our response to HM Treasury’s decision to consolidate anti-money laundering supervision and present the results of two reports: AML supervisory results and a thematic review on SARs. Insolvency updates include guidance on joint nominee agreements and a new video on SIP1. Probate firms can access guidance following a high profile legal case and further resources to support them on the administration of oaths. You can also read about RSM’s innovative approach to using Crossing the Line for staff training.
AML Thematic Review 2025
  • Helpsheets and support
  • 10 Nov 2025

We asked a sample of firms about SAR training, policies and procedures, the role of the nominated officer, levels of SAR reporting, reasons for suspicion and areas where firms would appreciate further guidance or clarity.

AML supervision reform: Duties, powers, and accountability consultation
  • Article
  • 10 Nov 2025
HM Treasury has published a consultation to hear feedback on proposals to reform the supervision of anti-money laundering and counter-terrorist financing (AML/CTF) compliance among professional services businesses. HM Treasury is keen to hear from stakeholders across the AML-regulated population. There is also an opportunity to register for roundtable discussions on the proposals.
ICAEW position statement on the recent Mazur Judgment
  • Article
  • 07 Nov 2025
The Mazur v Charles Russell Speechlys LLP judgment has prompted wider discussion about delegation and supervision within authorised legal services firms. ICAEW-accredited legal services firms can be reassured that the decision does not change the statutory requirements set out in the Legal Services Act 2007 (the Act). Note this statement was expanded on 5 December to provide additional clarity.
Joint nominee agreements for insolvency practitioners
  • Article
  • 05 Nov 2025
ICAEW and the other recognised professional bodies have worked together to develop guidance for joint nominees, both referring and receiving, helping you understand your responsibilities and ensure compliance in 2026.
Displaying 1-10 of 11 results
October 2025 December 2025
Useful links

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