Trading Resilience Using Machine Learning and Test Automation
December 3, 2020Machine learning (ML) is the driving force behind the next generation of multi-layered automated testing for trading platforms. Learn...
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Broker Club Personal Account Dealing Survey
November 9, 2020Our personal account survey carried out last week showed a variety of approaches to Personal Account Dealing (PAD) within...
FCA Statement and Approach on Share Trading Obligations
November 9, 2020The FCA has recently released a statement share trading obligations, with the prospect of the Brexit transition period ending...
FRC’s Guidance on Board Effectiveness
November 2, 2020In 2018 produced guidance on board effectiveness. This report can be viewed HERE
Strengthening Governance Frameworks to Mitigate Misconduct Risk: A Toolkit for Firms and Supervisors
November 2, 2020This report, from the FSB, provides a toolkit that firms and supervisors can use to mitigate misconduct risk. The...
Big Data Challenges in Financial Services
November 2, 2020Artificial intelligence and machine learning are transforming the e-trading landscape in capital markets. The availability, consistency, and consumption of...
FCA Speech on Market Abuse in a Time of Coronavirus
October 15, 2020At the City Financial Global event, Julia Hoggett, FCA Director, Market Oversight, delivered a speech on Market Abuse in...
Market Watch 65
September 10, 2020The FCA’s latest newsletter on market conduct and transaction reporting issues, Market Watch 65, can be read HERE
Banks’ Monitoring of Whatsapp Messages
September 7, 2020The news that one of JP Morgan’s most senior credit traders has become the latest Wall Street employee to...
Tensions in an Employer’s Obligations to their Employees and their Regulator
September 7, 2020The judgement (published on 30 July 2020) in Ramchandani v Citibank N.A. 3200403/2014 has shone a light on the...
Dirty Jokes in the Workplace
September 7, 2020An article in the press recently reported that 16% of women in the UK think it is okay to...
Days Off in Lieu of Smoking
September 7, 2020Eagle-eyed readers may have seen the recent article relating to KCJ Training and Employment Solutions, a Swindon company which...