Recent Posts
Paul Cottee shines his light on the latest ESMA Report on pre-hedging. The Report shows there were divergent views around many components of the pre-hedging process but finds insufficient evidence to ban the practice outright.
In this Blog, Ozzie Berrios explains why the FCA will likely continue to refine the Consumer Duty guidance in order to give the different types of companies more clarification regarding the requirements.
Paul Cottee explains FCA’s Market Watch newsletter (MW73) in which the UK regulator discusses recent market abuse peer reviews of firms that offer Contracts for Difference (’CFDs’) and spread bets (’CFD providers’).
Ozzie Berrios attended the FINRA conference, which covered a wide array of topics, from regulatory updates to technological innovations and best practices for compliance.
All Blogs in 2023 »