-Use it or Lose it: The FCA’s tougher new line on unused permissionsThe FCA is taking a tough stance where firm’s are not using their regulatory permissions following the review of London Capital and Finance.
-What to Expect in 2021We start our 2021 blog with the top 12 areas where we are expecting regulatory focus in 2021.
-Merry Christmas and thank you from LCAs we approach the end of what continues to be a strange and challenging year, we wanted to take this opportunity in our final blog of 2020
-FX Spot: Regulated or Unregulated? (Myth or does it even matter?)This article explains my view that in many of the areas that matter, and particularly in the UK, the FX spot market is de facto regulated
-The Brexit Clock is Ticking Loudly – Are You Ready? Five areas to consider.The United Kingdom is scheduled to exit the transitional period at 11pm on 31st December, this will have very significant impacts for the UK
-Principle 11: 6 tips for firms with no FCA supervisorMany FCA regulated firms do not have a named point of contact. Instead they fall under the contact centre and\ or wholesale brokers team
-FCA Dear CEO to Wholesale Brokers: your checklistThis article looks at the FCA’s Dear CEO letter to wholesale brokers four months ahead of FCA issuing its updated sector risk assessment
-The problem with culture starts with MIAccording to the FCA, culture audits, culture prints and culture maps are precisely where the problem with culture starts.
-Heightened risks of using third partiesIn this article we distil the key points for regulated firms from the Financial Stability Board’s recent discussion paper
-5 lessons for compliance from GS and 1MDBThis article considers the lessons learned for Compliance following Goldman Sachs settlements with regulators over 1MDB.
-Top ten risks of the new operating environmentThis article considers the new operating environment brought about by covid and Brexit. It gives our top ten risks which have changed
-Global FX Code: Growing ExpectationsThis article looks at the changing reliance put on the Global FX Code and its regulatory status.
-Countering market abuseThis article looks at the delta from, and practical steps, for treating insider dealing and market manipulation as financial crime.
-Trends in market abuseThis article looks at the key themes and trends in market abuse investigations. It comments on the connection with financial crime.
-CASS: 6 things the FCA expects of youThis post unpacks how to maintain FCA CASS compliance and meet FCA expectations
-5 things to-do before the year endFrom Brexit to Dear CEO letters, This blog covers the five things that regulated wholesale firms need to do before 31 December 2020