Our insights
Stay updated with the latest developments and insights from our team. From industry trends to regulatory changes, we keep you informed and share our perspective.
Bright Smart Securities fine points to clear SFC expectations on pre-trade controls and surveillance
Proposals to end the external fund manager regime
FCA Skilled Person Reviews: A Wake-Up Call for Annex 1 Financial Institutions
MiCA rejection rates bring forthcoming UK crypto regime into sharp focus
Small Registered AIFMs, Big Regulatory Shift
Berne Financial Services Agreement prompts uptick in UK brokers serving Swiss clients
SFC raises the bar for client onboarding – would your process stand up to scrutiny?
FCA Authorisation – what the latest metrics mean and how ComplyCraft can help
FCA’s Wholesale Markets and Buy-side Regulatory Priorities Report
Why firms will need to change how they market AIFs and fundraise.
Hong Kong IPO bonanza leaves compliance teams struggling to keep up
Venture capital (and private equity?) firms face new California reporting requirements
Lessons from Bank of Scotland fine for sanctions screening failure
Jane Street vs. SEBI: what does it mean for your market abuse risk assessment and surveillance practices?
FCA find e-money and payment services firms need to do more
First FCA enforcement action and fine against a Recognised Investment Exchange
FCA Financial Promotions Data 2024: Key Insights
Introduction of criminal background checks on owners and controllers at the Authorisation’s Gateway'
FCA issues its first fine for MiFIR transaction reporting
