What is Pre-Hedging? We will assume a bit of knowledge here. Broadly speaking pre-hedging is when a dealer, who is in receipt of an order or RFQ (Request For Quote) from a client or counterparty, deals in the market for…
Here we re-examine the risks of opting up retail clients after Linear Investments v FOS. Clients have differing levels of knowledge, sophistication, and risk appetite. Rules in many jurisdictions allow for this by having different categories. For investment business in…
In this Behind The Desk Interview we caught up with Graham Jelf, Compliance Officer at London Bullion Market Association (LBMA). To discuss all things regulatory compliance, from the latest trends and must have skills to why training is more important…
We’re witnessing something we haven’t seen since the financial crisis: a genuine regulatory pivot towards growth. The new government’s commitment to making financial services a cornerstone of economic growth has fundamentally changed the conversation between regulators and industry. The Chancellor’s…
The FCA’s consultation paper CP25/18 marks a significant shift in regulatory expectations around non-financial misconduct (NFM). From 1 September 2026, firms across the financial services sector, including solo-regulated entities, will need to embed stronger processes and cultural frameworks to address…
Meet Nick Evans, Executive Consultant Compliance, Barclay Simpson, as he shares his journey through the intricate world of compliance recruitment, from the rapid integration of AI, to the satisfaction of helping a candidate find their dream job, against the odds. Nick…
Meet Fiona Figuera, Compliance Manager at Capital Markets Elite Group, who shares her journey from launching compliance training in Guyana to advocating for simplified data protection rules. Discover what inspires her, her favourite comfort food, and the superhero she admires most! …
This Compliance Cosy Chat with LBMA brings together Graham Jelf of LBMA and Katharine Leaman from Leaman Crellin. Sharing key insights from their combined regulatory and commercial backgrounds. Together, they explore the impact of the Fair and Effective Markets Review…