4 Practical Tips to Tighten eComms Controls
Introduction In recent years, the financial services sector has witnessed a series of regulatory fines imposed on firms due to…
Category Hedge Funds & Institutional Asset Managers
Read More4 Practical Tips to Tighten eComms Controls
Strong Product Governance
For decades regulators globally have relied on advice and disclosure to protect investors. Through root cause analysis of mis-selling and…
7 tips to enhance your Market Abuse Risk Assessment
The regulator is increasingly asking to see your market abuse risk assessment and often at short notice. In this article…
Markets monitoring: joining the dots
FCA has been investigating UK based brokers involvement in cum/ex dividend arbitrage schemes. As it progresses its investigation the FCA…
Recent fx derivatives mis-selling cases
The Financial Times has reported that BNP Paribas is facing mis-selling allegations over fx derivatives to Spanish corporate clients. It…
TFS-ICAP fines for printing trades & flying prices – 4 lessons for compliance & control functions
As a reminder TFS – ICAP received fines of £3.4 by FCA and $7 million by the CFTC. Former senior…