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FCA Compliance (4)

FCA Compliance News | Jan 2019
FCA Compliance News - January 2019

FCA Compliance News | Jan 2019

Our January 2019 edition of FCA Compliance News looks at illustrative cases of misconduct, fraud, TCF and competition...

FCA Compliance News | Dec 2018
FCA Compliance News - December 2018

FCA Compliance News | Dec 2018

Our December 2018 edition of FCA Compliance News looks at the latest regulatory developments in the financial services...

FCA Compliance News | Nov 2018
FCA Compliance News - November 2018

FCA Compliance News | Nov 2018

Our November 2018 edition of FCA Compliance News looks at the latest regulatory developments in the financial services...

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MiFID II research checks

Key MiFID II Research Checks

Martyn Oughton writes about the all-important MiFID II research checks. Follow his checklist to make sure your firm is...

put customer needs first ahead of MiFID II

5 things you should be doing to put customer needs first

Read this blog post and follow our top tips to be sure you put your customer needs first ahead of the introduction of...

How to Achieve MiFID II Compliance

How to Achieve MiFID II Compliance

MiFID arrived in response to the market crash. Following the PPI scandal, it was strengthened with the introduction of...

Compliance Bulletin
Newsletter

Compliance Bulletin

Our monthly email provides best practice, expert opinions, industry insights, news and key trends in regulatory compliance training, digital learning, EdTech and RegTech.

5 steps you should take to prepare for Direct Electronic Access
5 steps you should take to prepare for Direct Electronic Access

5 steps you should take to prepare for Direct Electronic Access

Read this blog pot to find out the steps you should be taking to prepare for direct electronic access (DEA) under MiFID...

5 Essential Controls for High Frequency Algorithmic Trading
5 Essential Controls for High Frequency Algorithmic Trading

5 Essential Controls for High Frequency Algorithmic Trading

Understand high frequency algorithmic trading (HFAT) and the 5 key controls you need in light of the MiFID II regime.

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

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

Read this blog post to ensure you know how to put clients at the heart of your business, ahead of the implementation of...