Understanding FCA and PRA Fee Blocks
What Are Fee Blocks? Fee blocks are the regulatory mechanism by which the FCA and PRA allocate their annual funding…
Category Risk Management
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2026 Regulatory Priorities
As the new year approaches, compliance officers yet again face a year ahead of regulatory change. The convergence of technological…
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…
Top Tips for Effective Compliance Risk Assessments
A robust compliance risk assessment isn’t just about identifying risks—it’s about understanding how to manage them effectively and demonstrating you have thought about potential…
LC Podcast The FCA Risk Strategy for Principal Trading Firms
Read MoreLC Podcast The FCA Risk Strategy for Principal Trading FirmsOutsourcing and Third-Party Risk Management
The PRA and FCA are changing their rules from 31 March 2022. They say that you have less than 12…