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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:
New Year Letter – 2025
Dear Clients and Friends, As 2025 is now in full swing, it is time for our annual New Year letter. In our compliance review work
The FCA and non-financial misconduct question – Do as we say, not as we do?
The last few months of 2024 saw some notable actions taken by the FCA against individuals for non-financial misconduct. But this was against a backdrop
Back to the Future – Part IV – Joint Payments for Research Update
Dear Clients and Friends, You will recall that our Alert from the summer outlined the changes proposed – and subsequently passed – by the FCA in relation
Compliance: Delivered – Interim Compliance Officer and resource management solutions
Finding, hiring and on-boarding compliance staff with the right expertise and level of experience is difficult. We know – we’ve hired many compliance professionals ourselves
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