ESMA Releases Consultation Paper on Guidelines on Appropriateness and Execution Only
February 8, 2021ESMA has released a consultation paper on guidelines on appropriateness and execution only. In particular, this paper is addressed to...
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Five Areas the PRA Wants you to Prioritise in 2021
February 8, 2021The Prudential Regulation Authority has highlighted the following five areas for priority focus this years: Financial Resilience, LIBOR Transition,...
ESMA Reminds Firms of the MIFID II Rules on Reverse Solicitation
February 8, 2021The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, is issuing a public statement to remind...
FCA Sets Expectations for Firms to Record Communications when Working from Home
February 8, 2021FCA focuses on risks associated with unmonitored communications, including the use of unencrypted apps, such as WhatsApp, for sharing...
Lockdown 3.0: The Continued Implications of Remote Trading
February 8, 2021With much of Europe and other global jurisdictions returning to yet another lockdown, we can be reasonably confident that...
FCA Reminds Firms to Regularly Review Regulatory Permissions
February 8, 2021The FCA has reminded firms of their obligation to regularly review regulatory permissions to ensure they are up to...
Blackout 2020
February 8, 2021Major markets globally have suffered outages in 2020. Should exchanges be doing more to ensure markets operate efficiently and...
Top Bankers Sound Alarm That Remote Work Is Starting to Grate
February 8, 2021Senior bankers have warned that working from home is becoming unsustainable. View the full article from Bloomberg HERE
The Evolving Role of The SOR In FX: The Route To Better Automation and Execution Quality
February 4, 2021The growing focus of traders to achieve effective workflows, save cost and time, and improve execution outcomes for more...
CBI/PwC Financial Services Survey
January 20, 2021The Confederation of British Industry, along with PricewaterhouseCoopers have released their Quarter 4 results of the 2020 Financial Services...
Market Watch 66: Firms Must Plug Risk from Reduced Monitoring and WhatsApp
January 18, 2021The latest FCA Market Watch newsletter has set out their increased expectations for firms recording telephone conversations while operating...
Brexit: What Does the Agreed Deal Mean for the UK Financial Services Sector
January 13, 2021On 24 December 2020 after years of discussion and a final nail-biting fortnight of negotiations the UK and EU...