Our very own Neil Makwana, delivered an insightful presentation at The Broker Club’s November event. Neil delved into the critical topic of CASS (Client Asset Sourcebook) requirements, which are paramount for regulated firms managing client assets, overnight client positions, or…
Last week our CEO Katharine Leaman and colleagues David Stuart and Neil Makwana, had the pleasure of joining clients and connections at the ACI UK Financial Markets Association AGM, followed by a social and networking evening (which we were delighted to sponsor.…
Drawing on decades of experience, Katharine shares key insights from her regulatory and commercial background with Graham Jelf of the LBMA. Together, they explore the impact of the Fair and Effective Markets Review (FEMR), the critical importance of senior management…
This article provides an overview of the main topics covered by the FCA’s policy statement on cryptoasset financial promotions. The overriding obligation is that any financial promotion must be fair, clear and not misleading. Alongside this policy statement, the FCA…
Introduction In this complex landscape of ESG (Environmental, Social, Governance) reporting, businesses are navigating the tricky waters of sustainability reporting. Whilst for most companies, these reports remain voluntary, however are becoming increasingly important to investors and stakeholders, who are placing…
According to the FCA, culture audits, culture prints, and culture maps are precisely where the problem with culture starts. FCA considers that as soon as we attempt to wrap metrics around culture or conduct, we are missing the point because…
Introduction On 28 June 2023, the FCA published a reminder article on the upcoming go-live of the Consumer Duty. It posed “10” (well, 14 actually) key questions for firms to consider. We thought it would be useful to map those…
The Financial Conduct Authority has made it clear that Consumer Duty is not a “once and done” exercise and firms should be continually challenging themselves to ensure they are delivering good outcomes for clients. Consumer Duty implementation can be a complex journey…