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...

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....

Effecta Regulatory Newsletter no. 2, 2021

September 9, 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 changes are considered...

Market Abuse – COVID and Beyond

August 2, 2021

Over the last 18 months the Financial Conduct Authority (“FCA”) has set out its expectations in relation to systems and controls to be employed by regulated firms when it comes to identifying and reporting on...

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

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