THE WAY COMPLIANCE SHOULD BE
LATEST REGULATORY INSIGHTS
Market Watch 69 – A focus on Market Abuse Monitoring For Small and Medium Sized Firms
May 24, 2022
On the 17th May 2022, the FCA published the 69th edition of their Market Watch newsletter. The emphasis this time being on market conduct and transaction reporting issues, with a particular focus on small and medium sized firms. The topics covered are...
read moreEFFECTA’s Essential Insights: A Regulatory Update
April 15, 2022
Welcome to the latest edition of EFFECTA’s Essential Insights, a quarterly newsletter aimed at providing its...
read moreBenchmark Regulation: Are you meeting your responsibilities?
March 28, 2022
Introduction Over the course of my career, I have worked in companies which have either produced,...
read moreEFFECTA REGULATORY ROUNDUP FOR 2021
February 1, 2022
ROUNDUP FOR 2021 Welcome to the second Effecta Compliance regulatory newsletter. In the ever changing regulatory...
read moreClare and her team provided invaluable insight and experience from the first meeting. She guided us through a successful authorisation in a timeframe significantly quicker than the quoted guidelines, allowing us to begin executing our business plan faster than anticipated. JV, London, Institutional Brokerage