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...
A 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”) and therefore acquisition of Kimberly Forex UK Limited (“Kimberly Forex”) and the details within the FCA Final Notice were...
Independent Regulatory Health Checks and Compliance Assurance review.
June 1, 2021
Financial services compliance is becoming increasingly more complex, and the regulatory landscape is continually changing and evolving. This can be seen through the regulatory fines imposed on firms both large and small, as well as...