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:
FCA ESG Regime – a safer environment for investors?
In late November, the FCA confirmed a substantial package – within Policy Statement 23/16 – of measures to improve the trust and transparency of sustainable
UK and US short selling regimes – a short note on the changes.
The FCA recently amended their short selling webpage with numerous updates related to the UK short selling regime. As you may recall – and as
ICARAs – the FCA’s observations (and therefore expectations)
In late November the FCA published their IFPR implementation observations concluding report which details the regulator’s findings on how firms are implementing the ICARA under
The Private is the Professional – Fit, Proper and Individual Misconduct in the Regulated Sector.
In September, the Financial Conduct Authority (“FCA”) published its consultation paper, “Diversity and Inclusion in the financial sector – working together to drive change.” The
Avoid the Rolling Bad Apples : Recruiting to Protect Culture
In the last couple of months, we have observed that the FCA have re-focused their efforts in encouraging regulated firms to ensure the right culture in their
Paying for Research, Short Selling Reforms & End of UK PRIIPS: Momentum in UK Regulatory Reform
Prior to the approaching summer break, the past few weeks has seen fresh momentum in post Brexit U.K. regulatory reforms (aka the Future Regulatory Framework)
