BLOGS

desk decision making (1)

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

graph and pen

FCA Intensifies Focus on Transaction Reporting and STORs

The Financial Conduct Authority (FCA) has significantly strengthened its surveillance of transaction reporting and Suspicious Transaction and Order Reports (STORs).

Financial market abuse (1)

A New Look at Market Conduct 

The financial markets thrive on integrity and trust. Regulators, investors, and counterparties expect that prices are formed in fair, transparent,

office buildings warm

CFD’s – FCA turns up the heat on investor protection 

The FCA recently warned investors about trading Contracts for Difference (CFDs). When investors use overseas or unregulated providers, they risk

financial district skyline

UK Short Selling Regime Under Review in FCA Consultation

The FCA has released Consultation Paper CP25/29, setting out proposed reforms to the UK short-selling regime. The proposals are designed

Puzzle pieces fitting together

PS25/14: New Capital Framework for Investment Firms

The FCA’s PS25/14 marks a turning point for investment firms, finally severing the awkward ties between MIFIDPRU and the banking-focused