May 13, 2016 - Regulatory Updates
The FCA's regulatory sandbox is now open to applications. The sandbox is a safe environment within which businesses can test innovative products, services, business models and delivery mechanisms.
May 6, 2016 - Regulatory Updates
The FCA has published the latest of its Policy Development Update.
April 28, 2016 - Regulatory Updates
The FCA has published a policy statement on the Implementation of the Market Abuse Regulation (MAR). This is in response to issues arising from the consultation paper on policy proposals and handbook changes in relation to the implementation of MAR.
March 15, 2016 - Regulatory Updates
On 7 March, 2016, the Senior Managers Regime (SMR), which makes top bankers individually accountable for misconduct within their firms, came into force. The reform was introduced as a result of the recent financial crisis and aims to restore public trust and confidence in the financial services industry.
June 25, 2015 - Regulatory Updates
Cyber-security testing is a hot topic for 2015/2016 and as reported at the beginning of the year the UK and US have launched a ‘joint exercise’ which will focus on the financial sector. The SEC will undertake a second wave of cyber-security exams in the US Q315, with Barack Obama warning that the hedge fund industry remains a weak link in the financial services sector against hackers and terrorists.