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 Brokers & Trading Firms
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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…
ESMA 2026 Work Programme: What Regulated Firms Need to Know
ESMA has published its 2026 Annual Work Programme, setting out its regulatory priorities for the year ahead. Here’s what matters…
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…
client categorisation: beware the tick box, follow the facts
Here we re-examine the risks of opting up retail clients after Linear Investments v FOS. Clients have differing levels of…