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...

EFFECTA REGULATORY ROUNDUP FOR 2021

February 1, 2022

ROUNDUP FOR 2021 Welcome to the second Effecta Compliance regulatory newsletter. In the ever changing regulatory landscape, it is key that firms keep up to date to with latest compliance developments and ensure relevant compliance...

2021 MLRO Annual Report – International Findings and Industry Guidance Overview

January 31, 2022

FCA Business Plan The FCA outlined in its 2021/22 Business plan that it wants firms to be effective in preventing market abuse and reducing the risks of financial crime. They have stated that they will...

Risk Management – Dear CEO Letter, December 2021

December 21, 2021

In March of this year Archegos Capital Management (“Archegos”) defaulted resulting in losses of over $10bn across multiple firm. Following this the Prudential Regulatory Authority (“PRA”) and the Financial Conduct Authority (“FCA”) in the UK...

Exempt CAD Firm’s considering a VOP

November 3, 2021

Exempt CAD Firm’s should consider a Variation of Permission (“VOP”) to become Non-MiFID firms and position themselves outside of the Investment Firm Prudential Regulation (“IFPR”) The forthcoming IFPR will present a challenge to those firms...

Effecta is pleased to announce we are now open in Dubai, with offices in the DIFC.

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