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 Private Banking & Wealth Management
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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…
FCA’s Supervisory Approach in 2021
The FCA has delayed publishing its annual business plan until June, alongside its Annual Report. This article covers FCA’s Supervisory…
Outsourcing and third party risk management – PRA issues new requirements for banking and investment firms
Outsourcing and third party risk management have become focal points following the publication on 29 March 2021 of the Prudential…