2026 Regulatory Priorities
As the new year approaches, compliance officers yet again face a year ahead of regulatory change. The convergence of technological…
Category Conflicts of Interest
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Top Tips for Strengthening Your Market Abuse Risk Assessment
Why firms must be ready for rapid regulatory scrutiny Regulators are asking for market abuse risk assessments more frequently and with less…
Pre–Hedging and The IOSCO Paper: What dealers and clients need to know
What is Pre-Hedging? We will assume a bit of knowledge here. Broadly speaking pre-hedging is when a dealer, who is…
Managing conflicts of interest in the real world
There is plenty of theory about how to manage conflicts of interest. There are rules saying what you can and…