Strong Product Governance
For decades regulators globally have relied on advice and disclosure to protect investors. Through root cause analysis of mis-selling and…
Category MiFID
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What makes a good compliance manual: Practical lessons from banking
Do you really need a compliance manual? Let’s get this clear from the beginning: there are no rules in the…
FCA Dear CEO to Wholesale Brokers: your checklist
After the global financial crisis the FCA was left no choice but to put all its focus and efforts on…
5 lessons for compliance from GS and 1MDB
Earlier this year Goldman Sachs (GS) reached settlements with regulators in the US, UK, Singapore, and Hong Kong over 1MDB.…
Brexit and MiFID II Transaction Reporting
FCA’s Market Watch 64 is a timely reminder that the count down to the end of the Brexit Transition on…