Market Watch 65
September 10, 2020The FCA’s latest newsletter on market conduct and transaction reporting issues, Market Watch 65, can be read HERE
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Broker Relevant Articles and News
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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...
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The FCA’s Approach to Market Abuse, with Leaman Crellin
September 16, 2020The FCA conducts its own surveillance of the markets in order to detect attempts or incidents of actual market...
Market Abuse 101, with Leaman Crellin
September 9, 2020Preventing, detecting and punishing market abuse is a high priority for the FCA. It protects consumers, enhances the integrity...
Prudential Capital Requirements with Monte Carlo Plus
September 9, 2020Dr Mustafa Cavus, from Monte Carlo Plus, reviews the FCA business plan for firms, looking at its focus on...
The Global FX Code in conjunction with Leaman Crellin
August 20, 2020Liam Crellin leads this session, which looks at the Global FX Code, and covers in detail: Areas that firms...