Market Watch 65
September 10, 2020The FCA’s latest newsletter on market conduct and transaction reporting issues, Market Watch 65, can be read HERE
News Articles | All
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...
Archax Regulated by FCA as First Ever Digital Securities Exchange in UK
August 19, 2020Archax today announced becoming the first ever FCA regulated digital securities exchange and custodian in the UK. This milestone...
Dear CEO letter: Increased Client Money Balances Since COVID 19
August 17, 2020On the 12th August the FCA published a Dear CEO letter on Increased Client Money Balances Since Coronavirus. The...
FCA Letter on Broker Remuneration
August 17, 2020On the 22nd July the FCA published a letter regarding Broker Remuneration, which will be discussed at our round...
FCA Update: Use of TTCAs and the Matched Principal Exemption
July 27, 2020Today the FCA published a ‘Dear CEO’ letter aimed at wholesale market broking firms regarding the use of TTCA...
FCA Blog on Conduct, Culture and Covid-19
June 15, 2020Conduct, Culture and Covid-19
Deloitte Future of the City Blog
June 15, 2020Future of the City Blog
Company Gifts and Entertainment Policy Survey
March 3, 2020The Broker Club recently sent a survey to members in compliance roles asking about their company’s Gifts and Entertainment...