Financial Crime: When things are not right
Explore financial crime and its impact on firms, as showcased by the FCA's action against Nationwide Building Society.
David Stuart
David is a Senior Principal Consultant with almost 40 years of experience in financial services. His previous roles include COO at Alpari and European Head of Advisory Compliance at Standard Chartered Bank. He has strong expertise in regulatory change, implementation programmes, corporate governance, and operational risk.
Top Tips for Strengthening Your Market Abuse Risk Assessment
Explore top tips for strengthening your market abuse risk assessment and ensure compliance with regulatory expectations.
FCA Intensifies Focus on Transaction Reporting and STORs
FCA ramps up scrutiny on transaction reporting and STORs amid rising market abuse risks, targeting spread betting and CFD sectors.
A New Look at Market Conduct
Explore how Market Abuse Regulation (MAR) ensures fair, transparent markets and why recent cases challenge its enforcement.
CFD’s – FCA turns up the heat on investor protection
FCA warns investors on CFD trading risks with overseas or unregulated providers, citing poor conduct and influencer-driven marketing.
UK Short Selling Regime Under Review in FCA Consultation
FCA releases consultation paper setting out proposed reforms to the UK short-selling regime, to ease reporting, boost market integrity, and support liquidity. Consultation closes 16 Dec 2025.
Why Robust Financial Crime and AML Controls Are Non-Negotiable
Robust AML and financial crime controls are now essential for financial institutions not just to meet regulatory demands, but to protect reputations, build trust, and stay resilient in a high-risk financial environment.
Who Takes the Fall? The Critical Divide Between MRTs and SMFs in UK Finance
Understand MRTs and SMFs key roles in financial regulation and how their accountability impacts risk and compliance in your firm
FCA Intensifies Focus on Transaction Reporting and STORs Amid Growing Market Abuse Risks
FCA tightens oversight on transaction reporting and STORs, focusing on spread betting and CFD sectors to enhance market integrity
FCA issues landmark MiFIR FINE: A Warning for Small Firms
FCA fines Infinox Capital £99,200 in first MiFIR enforcement since 2018—what this means for small firms and compliance risk