Simon Brint
Marketing Manager
The FCA Way
" This month we’ve been following the recent movements of the FCA as they continue to tighten their grip and further assert a zero tolerance policy for firms who choose not to conform with mandatory regulation. "
What we've been reading this month...
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Fined firm accepts failings uncovered by FCA
"The FCA fined Linear Investments, which is also a prime broker and hedge fund incubator, £409,300, but the company has disputed the regulator's fine and plans to challenge the decision in the courts."
Written by: Damien Fantato
28th September 2018 | 5 min read
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FCA warnings on MAR surveillance practices
“Financial Conduct Authority (FCA) highlights recent observations about firms' surveillance systems. Following previous publications on the topics and the implementation of MiFID II, firms should treat this paper as a clear warning shot that the FCA will not tolerate non-compliance.”
Written by: Michelle Kirschner
27th September 2018 | 5 min read
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Former Deutsche star banned over £2.5m 'gross misconduct'
“A former Deutsche Bank trader who was jailed for more than five years has now been banned by the Financial Conduct Authority (FCA).“
Written by: Yoosof Farah
17th September 2018 | 5 min read
Regtech Around The Globe
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Bringing New Technologies to Financial Authorities
“The mission of R²A is to enhance the capacity of financial authorities by harnessing innovative technologies and accelerating promising RegTech (regulatory technology) solutions.”
Written by: Sean Creehan and Paul Tierno
24th September 2018 | 30 min listen/read
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The Use of Regulatory Sandboxes in Europe and Asia Across the Globe Team-Up to Launch a Global Fintech Sandbox
“Global attention to money-laundering, terrorism financing and financial criminal practices has grown exponentially in recent years. As criminals constantly come up with new tactics, global regulations in the financial world are evolving all the time to try and keep up.”
Written by: Claus Christensen
6th September 2018 | 10 min read
Who To Follow