LATEST REGULATORY INSIGHTS
Use it or Lose it
October 4, 2021
The FCA have recently made it clear to firms that if they are not using the full scope of any of their permissions that they will be liable to be reviewed and removed if necessary. This is a part of the FCA’s...
read moreEffecta Regulatory Newsletter no. 2, 2021
September 9, 2021
Welcome to the second Effecta Compliance regulatory newsletter. In the ever changing regulatory landscape, it is...
read moreMarket Abuse – COVID and Beyond
August 2, 2021
Over the last 18 months the Financial Conduct Authority (“FCA”) has set out its expectations in...
read moreA Change in Control Is More than Just a Standard Notification
July 12, 2021
The Financial Conduct Authority (“FCA”) recently released a Final Notice opposing the Change in Control (“CiC”)...
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