Is FX Spot Regulated or Unregulated?
Maybe its a myth or perhaps it doesn’t…
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Principle 11: 6 tips for firms with no FCA supervisor
Principle 11 is important and the most frequently…
FCA Dear CEO to Wholesale Brokers: your checklist
After the global financial crisis the FCA was…
Heightened risks of using third parties
Many regulated firms rely on third parties for…
5 lessons for compliance from GS and 1MDB
Earlier this year Goldman Sachs (GS) reached settlements…
Top ten risks of the new operating environment
The environment in which we are working has…
Global FX Code: Growing Expectations
ESMA’s review of the Market Abuse Regulation places…
Trends in market abuse
Market conduct poses risks to regulated firms irrespective…
CASS: 6 things the FCA expects of you
FCA works on a risk-based approach and as…