How Do You Know You Have Got SMCR Right?
June 9, 2021 UncategorizedBy now the process aspects of SMCR should be settling down into their own rhythm and the cultural aspects...
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The Future of Algorithmic Trading: 5 Key Trends
June 9, 2021 UncategorizedAs trading volumes increase and client expectations become more complex, the pressure on trading desks to improve execution performance is...
Financial Crime Survey Results
May 24, 2021 UncategorizedAs part of our round table with C&F Partners we conducted a survey on financial crime within the Broker...
The Future of Data Collection and Data Management: Agile RegOps for Digitalizing the Regulatory Value Chain
March 30, 2021 UncategorizedOur Partners at Bearing Point have produced a white paper on the future of data collection and data management,...
High Court finds that 24HR Trading Academy unlawfully advised on investments and unlawfully promoted CFD trading
March 30, 2021 UncategorizedThe High Court has delivered a summary judgement in proceedings commenced by the FCA ruling that 24HR Trading Academy Limited (24HR...
Dear CEO Letters
March 18, 2021 UncategorizedOver the last year the FCA has published a 12 Dear CEO Letters, relating to the broker community: ...
ESMA Releases Consultation Paper on Guidelines on Appropriateness and Execution Only
February 8, 2021 UncategorizedESMA has released a consultation paper on guidelines on appropriateness and execution only. In particular, this paper is addressed to...
Five Areas the PRA Wants you to Prioritise in 2021
February 8, 2021 UncategorizedThe 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, 2021 UncategorizedThe 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, 2021 UncategorizedFCA 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, 2021 UncategorizedWith 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, 2021 UncategorizedThe FCA has reminded firms of their obligation to regularly review regulatory permissions to ensure they are up to...