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,...

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 why it is important for their company, the responses tend to be ones of frustration or disengagement. It’s easy...

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 for Marketing and Compliance teams alike, looking to find the right balance between highlighting the commercial advantages of a...

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’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 readers with succinct overviews of some of the key regulatory issues currently faced by UK Firms. Our newsletter reflects...