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...

Benchmark 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, contributed to or relied upon Benchmarks, and have been a member of several in-house and external Benchmark Committees. The...

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...

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

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