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    FCA Compliance News – June 2019

    This blog aims to provide a roundup of some of the biggest regulatory compliance headlines in the financial service sector over the last month. Select...

    Read More

    FCA Compliance News - May 2019

    Here's a selection of news stories from the last month that touch upon the people dimension of regulatory compliance. Select the links or scroll down ...

    Read More

    FCA Compliance News - April 2019

    Here are the top news stories from financial services compliance over the past month, selected to highlight FCA action, the people dimension of compli...

    Read More

    FCA Compliance News – March 2019

    Here's a selection of news stories from financial services compliance over the last month. These illustrate important messages coming from the FCA but...

    Read More

    FCA Compliance News - February 2019

    This post aims to highlight items of news that touch upon the people dimension of regulatory compliance. For us, compliance is about people - their mo...

    Read More

    FCA Compliance News - January 2019

    With Brexit preparations continuing apace, the financial services regulators have been busy through December and January. Our mission is to bring you ...

    Read More

    FCA Compliance News - December 2018

    The end of year has proved to be very busy in financial sector compliance, with numerous publications concerning Brexit being issued on top of the ong...

    Read More

    FCA Compliance News - November 2018

    An overview of the most recent and upcoming changes to FCA guidelines for senior managers...

    Read More

    Your All-Important MiFID II Research Checks

    The all-important MiFID II research checks start with the establishment of research payment accounts with the agreement of clients. If such accounts a...

    Read More

    Have You Done Your Research on Research Costs?

    MiFID II requires investment firms to demonstrate compliance with a wide range of new measures, building on the original MiFID from 2007.

    Read More

    How SM&CR Training Could Damage Staff Motivation and 3 Ways to Handle it

    "Are We All Senior Managers Now?" The focus of financial services firms of all sizes during 2018 will turn to the FCA and its intentions regarding the...

    Read More

    Don't let MiFID II spoil the party

    With just 2 weeks left to go until the MiFID II January deadline, financial firms are working flat out to ensure they're ready for the new rules. But,...

    Read More

    5 things you should be doing to put customer needs first

    The Financial Conduct Authority (FCA) has criticised Lloyds Bank Group and issued a £28m fine after hearing evidence about its incentive scheme, which...

    Read More

    MiFID II - Threat or Opportunity?

    Which side of the debate are you on? Is MiFID II:

    Read More

    Suitability tests and MiFID II

    According to figures released by the Financial Conduct Authority (FCA), over £27bn has been paid out already to those who were missold PPI, with an es...

    Read More

    5 steps you should be taking to prepare for Direct Electronic Access

    Is your firm ready for the new rules surrounding Direct Electronic Access? Where market members give customers direct electronic access, enabling them...

    Read More

    5 essential controls for High Frequency Algorithmic Trading (HFAT)

    How much do you know about HFAT? Disruptive trends like High Frequency Algorithmic Trading (HFAT) and machine learning are transforming financial serv...

    Read More

    5 ways to get back on track for MiFID II

    Research by Rsrchxchange has found that:

    Read More

    10 things you should do to protect yourself from insider trading

    UK's financial regulatory body clamps down on insider trading The Financial Conduct Authority's (FCA's) clampdown on insider trading is gaining pace, ...

    Read More

    6 top tips to put clients at the heart of your business

    According to figures released by the Financial Conduct Authority (FCA), more than £27bn has been paid out already to those who were missold PPI.

    Read More
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    FCA Compliance News – June 2019

    This blog aims to provide a roundup of some of the biggest regulatory compliance headlines in the financial service sector over the last month. Select...

    Read More

    FCA Compliance News - May 2019

    Here's a selection of news stories from the last month that touch upon the people dimension of regulatory compliance. Select the links or scroll down ...

    Read More

    FCA Compliance News - April 2019

    Here are the top news stories from financial services compliance over the past month, selected to highlight FCA action, the people dimension of compli...

    Read More

    FCA Compliance News – March 2019

    Here's a selection of news stories from financial services compliance over the last month. These illustrate important messages coming from the FCA but...

    Read More

    FCA Compliance News - February 2019

    This post aims to highlight items of news that touch upon the people dimension of regulatory compliance. For us, compliance is about people - their mo...

    Read More

    FCA Compliance News - January 2019

    With Brexit preparations continuing apace, the financial services regulators have been busy through December and January. Our mission is to bring you ...

    Read More

    FCA Compliance News - December 2018

    The end of year has proved to be very busy in financial sector compliance, with numerous publications concerning Brexit being issued on top of the ong...

    Read More

    FCA Compliance News - November 2018

    An overview of the most recent and upcoming changes to FCA guidelines for senior managers...

    Read More

    Your All-Important MiFID II Research Checks

    The all-important MiFID II research checks start with the establishment of research payment accounts with the agreement of clients. If such accounts a...

    Read More

    Have You Done Your Research on Research Costs?

    MiFID II requires investment firms to demonstrate compliance with a wide range of new measures, building on the original MiFID from 2007.

    Read More

    How SM&CR Training Could Damage Staff Motivation and 3 Ways to Handle it

    "Are We All Senior Managers Now?" The focus of financial services firms of all sizes during 2018 will turn to the FCA and its intentions regarding the...

    Read More

    Don't let MiFID II spoil the party

    With just 2 weeks left to go until the MiFID II January deadline, financial firms are working flat out to ensure they're ready for the new rules. But,...

    Read More

    5 things you should be doing to put customer needs first

    The Financial Conduct Authority (FCA) has criticised Lloyds Bank Group and issued a £28m fine after hearing evidence about its incentive scheme, which...

    Read More

    MiFID II - Threat or Opportunity?

    Which side of the debate are you on? Is MiFID II:

    Read More

    Suitability tests and MiFID II

    According to figures released by the Financial Conduct Authority (FCA), over £27bn has been paid out already to those who were missold PPI, with an es...

    Read More

    5 steps you should be taking to prepare for Direct Electronic Access

    Is your firm ready for the new rules surrounding Direct Electronic Access? Where market members give customers direct electronic access, enabling them...

    Read More

    5 essential controls for High Frequency Algorithmic Trading (HFAT)

    How much do you know about HFAT? Disruptive trends like High Frequency Algorithmic Trading (HFAT) and machine learning are transforming financial serv...

    Read More

    5 ways to get back on track for MiFID II

    Research by Rsrchxchange has found that:

    Read More

    10 things you should do to protect yourself from insider trading

    UK's financial regulatory body clamps down on insider trading The Financial Conduct Authority's (FCA's) clampdown on insider trading is gaining pace, ...

    Read More

    6 top tips to put clients at the heart of your business

    According to figures released by the Financial Conduct Authority (FCA), more than £27bn has been paid out already to those who were missold PPI.

    Read More