FCA Compliance

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

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

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

Harness the power of personalisation, gamification, adaptive content and granular analytics through Intelligent Learning.

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

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

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

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

Follow our five steps and make sure your business are compliant with MiFID II's upcoming data retention rules

Read this blog post to find out how your firm can stay compliant when using social media in financial promotions.

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Compliance Bulletin