Insider List and Information Management under MAR The European Market Abuse Regulations (MAR) have been in effect since July of 2016. Regulatory... READ MORE
MNPI Remains a High Risk Area for Compliance Failing to adequately manage Material Non-Public Information (MNPI) remains a high-risk area for... READ MORE
Fit for Purpose – Consumer Duty Compliance Remains a FCA Priority It's been almost one year the Consumer Duty came into force, setting higher and clearer standards... READ MORE
Streamline Employee Attestations and Certifications Financial services firms are among the most heavily regulated organizations worldwide. From the FCA... READ MORE
Infographic: Personal Account Dealing Compliance Personal Account Dealing, when employees gain personal profit from inside information or other data... READ MORE
A-Z List of Financial Regulators In the dynamic landscape of financial services compliance, multiple global regulators play a... READ MORE
FCA's Dear CEO Letter Puts Focus on Personal Trading and Market Abuse On 11 January 2023, the Financial Conduct Authority (FCA) published a "Dear CEO" letter to... READ MORE
How To Meet FCA Reporting Requirements (and Avoid Regulatory Action) The Financial Conduct Authority (FCA) regulates over 58,000 financial services firms and financial... READ MORE
FCA Business Plan 2021/22 Focuses on ESG Risks and Market Abuse The UK Financial Conduct Authority (FCA) 's 2021-22 Business Plan was published on 15 July 2021 and... READ MORE
