Recent Posts
Summary of our second CCO and Surveillance Leadership roundtable, where senior compliance executives from various major financial institutions discussed how they manage off-channel communications.
The Hong Kong regulator issued a statement concerning manipulation schemes, where small-cap stocks have been ramped up by fraudsters before they sold out at a profit.
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.
All Blogs in 2023 »