On our Radar
Below you will find all the latest relevant industry news:
The News Desk
Below you will find all the latest relevant industry news:
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
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
