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FCA and the SM&CR – Some Practical Thoughts

As the FCA has announced the near-final rules and the implementation date for the Senior Managers and Certification Regime (SM&CR), this article contains some practical thoughts, based on experience of...

Compliance Updater - June 2018

US adds Deutsche’s US subsidiary to list of ‘problem banks’. Research shows MiFID II has dramatically reduced broker commissions. Wells Fargo chooses Paris and Dublin post-Brexit. Australia files cartel charges...

CCL Regulatory Update: UK Edition - June 2018

This edition includes: FCA List of Cooperation Agreements, FCA Update on Authorisation, Policy Statement on Algorithmic Trading, Final Measures on CFDs and Binary Options, Smooth Introduction for LEIs and Proposal...