MCO is a growing SaaS-based software company, and our employees make a significant impact on this success. We are pleased to show you the backstage of our operations, bringing you closer to our team members. The “meet a member of the team” series remove the attention from our products and services to feature our people.
This month, we’re delighted to introduce you to a member of our Front-End team at our Dublin office, Conor Sexton.
The Financial Conduct Authority (FCA) is the conduct regulator for nearly 60,000 financial services firms and financial markets in the UK, and it's part of the FCA's work to implement, supervise and enforce international standards and regulations in the UK. The UK regulator has criminal, civil and regulatory enforcement powers.
In this article, we explain the FCA's 11 Principles for Business (PRIN), their purpose, how they are used to regulate the market in the UK, and the consequences of breaching the Principles.
In a landscape rife with legal obligations, few financial firms are as heavily regulated as broker-dealers.
From transaction monitoring and conflict management to complex customer protection rules, the resources needed to maintain compliance are significant—but not as high as the costs of being found non-compliant.
In this article, we’ll look at the regulatory landscape for broker-dealers and what firms can do to stay on top.
In April 2019, the Prudential Regulation Authority (PRA) sent a letter to CEOs highlighting its expectations for Boards of PRA regulated firms to understand and manage climate-related risks. The statement expects firms to allocate responsibility and appoint a Senior Management Function ("SMF") responsible for identifying and managing climate-related risks.
The Monetary Authority of Singapore (MAS) released its guidance on the 10th September 2020 on the five high-level outcomes that financial institutions should achieve on individual accountability and conduct.
