Briefing Paper: Anti-Money Laundering
January 4, 2021 UncategorizedOur partners at 3 Lines of Defence Consulting have produced a briefing paper on Anti-Money Laundering, with the Sixth...
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Briefing Paper: The Brexit Countdown
December 22, 2020 UncategorizedOur partners at 3 Lines of Defence Consulting have produced a briefing paper on considerations for firms, with the...
Trading Resilience Using Machine Learning and Test Automation
December 3, 2020 UncategorizedMachine learning (ML) is the driving force behind the next generation of multi-layered automated testing for trading platforms. Learn...
Broker Club Personal Account Dealing Survey
November 9, 2020 UncategorizedOur 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, 2020 UncategorizedThe 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, 2020 UncategorizedIn 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, 2020 UncategorizedThis 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, 2020 UncategorizedArtificial 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, 2020 UncategorizedAt the City Financial Global event, Julia Hoggett, FCA Director, Market Oversight, delivered a speech on Market Abuse in...
Market Watch 65
September 10, 2020 UncategorizedThe 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, 2020 UncategorizedThe 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, 2020 UncategorizedThe judgement (published on 30 July 2020) in Ramchandani v Citibank N.A. 3200403/2014 has shone a light on the...