THE WAY COMPLIANCE
SHOULD BE

Working in partnership with firms in key financial centres.

THE WAY COMPLIANCE
SHOULD BE

Supporting firms in a fast paced regulatory environment.

LATEST REGULATORY INSIGHTS

EFFECTA’S ESSENTIAL INSIGHTS: A REGULATORY UPDATE

July 20, 2022

Welcome to the second edition of EFFECTA’s Essential Insights, a quarterly newsletter aimed at providing its readers with succinct overviews of some of the key regulatory issues currently faced by Firms. However, in this edition, EFFECTA is pleased to announce the newsletter...

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DIVERSITY AND INCLUSION: WHY SHOULD YOU CARE?

July 14, 2022

When you tell someone that you wish to talk to them about Diversity and Inclusion and...

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The FCA ‘focus in’ on Financial Promotions

June 10, 2022

For as long as I have been working in Compliance, Financial Promotions have been a challenge...

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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....

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