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Below you will find all the latest relevant industry news:
The News Desk
Below you will find all the latest relevant industry news:
FCA’s Data Led Enforcement – Enforcing Minimum Standards
Data Led Enforcement – Enforcing Minimum Standards When thinking of enforcement action by financial regulators it is the images of insider dealers being led away
Back to the Future – Part III – Joint Payments (fka Bundled Commissions)
As referenced in our alert from May, the FCA has now released Policy Statement PS24/9 Payment Optionality for Investment Research. The Policy Statement and release
Criminal Background Checks for Controllers
July 2024 Dear Clients and Friends, Criminal Background Checks on Controllers A brief but potentially important update from the FCA…you may have missed it but
Year of the Election and Political Donations
June 2024 Dear Clients and Friends, Political Donations – What is the issue? We are all aware that 2024 is the year of the election
Market Surveillance – Lessons from Failures
May 2024, Dear clients and friends, A recent market watch newsletter (Market Watch 79) saw the FCA return to the topic of market abuse surveillance
Bundled Commissions, FCA Sustainabilty Disclosures and more
Dear clients and friends A mix of news for you in this alert, from bundled commissions to the FCA’s SDR and labelling regime to the