Read about the 13th fine made by the FCA relating to failures around transaction reporting.
A look into what we should all be focusing on one month after MIFID II implementation.
MIFID II – Impact of changes workshops,
Take an early look at some of our forthcoming open courses. Booking are already being taken for our 2018 courses, so take a look at what is available and get in touch with the team if you have any questions or require something more tailored to your current requirements.
Is your T&C scheme ready to cover the wave of incoming regulation for 2018?
As the MiFID II deadline draws closer the thorny and sensitive topic of K&C is bubbling up as a major concern for our clients.
The wait is finally over for the FCA’s final policy statement on the implementation of MiFID II. But it doesn’t look like a relaxing summer read, so get a head start with our summary of the document here.
What is the early impact of the election results for the industry, and the implications moving forward for the scheduled regulatory updates?
The FCA has released their Consultation Paper on MiFID II proposals.
How to make sure that your regulatory reporting requirements are up to standard.
A round up of upcoming training events surrounding Compliance and Risk.
There has been plenty written about whether those fines will ever be paid and where blame lies. We know other firms have already paid the price of being involved with the KeyData. But we are where we are with the FCA as a Regulator and more EU Directives are coming along very shortly.
Do you have everything in hand for the implementation of MiFID II? We look at what lessons can be learnt from the implementation of MiFID back in 2007.