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...
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Tax After Brexit and the Budget with BDO Limited
March 4, 2021BDO Ltd. lead our discussion on tax for broking firms after Brexit, with a particular focus on VAT. The...
Efficiencies in Regulatory Reporting: The Move to Granular Data Models with Bearing Point
March 3, 2021Over the last years there has been a realisation that the tradition of trying to standardise the reporting outputs...
Building on Success: How Retail Broking Firms Can Grow Their Business by Making Clients the “Central Pillar”
February 24, 2021Broking firms that serve a retail client base are in a great space at present. Day trading has become...
Tax Update for Broking Firms with PwC
February 18, 2021John Clarke, Director within the Banking and Capital Markets Tax team at PricewaterhouseCoopers, leads our quarterly update on tax...