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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 & SEC Compliance Highlights – Summer 2025
Dear Clients and Friends, Following a summer of page turning FCA proposals, welcome to the final stretch of 2025. The FCA has not slowed its
Off Channel Communications
Dear Clients and Friends, Managing electronic communication channels has been one of the most debated compliance topics over the past few years; the tension between
One Step at a Time ? The FCA’s SM&CR Reform
Dear Clients and Friends, 2025 is shaping up to be a year of the FCA balancing the need for robust regulation with the government’s commitment
Credit Suisse Fraud Takeaways
Dear Clients and Friends, The latest enforcement action in the “Tuna Bonds” scandal was announced in May when the FCA banned Detelina Subeva from the
Opting Up isn’t Optional
Clients and Friends, Opting Up isn’t Optional In June, we reported on the FCA’s Review of Smaller Asset Management Firms and recommended a review of
Review into Smaller Asset Management Firms
Dear Clients and Friends, The FCA published its findings (with a generous use of acronyms) from its recent review of smaller asset management firms (under
