Simon Brint
Marketing Manager
FCA and SEC demand action!
" Financial institutions are closing ranks under the watchful eye of global regulators. In recent weeks the FCA and SEC have both issued another volley of fines, reminders and enforcement actions. Cracks are starting to appear for those firms who have not yet taken the appropriate action to comply with mandatory regulatory protocol. "
What we've been reading this month...
FCA: Newsletter on market conduct and transaction reporting issues
" Investment firms which execute transactions in financial instruments must report complete and accurate details of these transactions to the relevant competent authority under Article 26(1) of MiFIR. "
Written by: FCA
April 2019 | 10 min read
FCA Business Plan 2019-20: A reflection of recent enforcement action
" The FCA’s annual Business Plan sets out its main areas of focus for 2019/20. As well as being a look to the year ahead, the Business Plan reflects areas of focus of FCA enforcement action over the past year. "
Written by: Phil Salvesen
2nd May 2019 | 10 min read
Has the FCA sharpened its claws of late? Reviewing the regulator's latest aggressive streak.
" In years past, the Financial Conduct Authority (FCA) and its predecessor the Financial Services Authority could have arguably been considered somewhat light-touch, especially when compared to equivalents in the US. "
Written by: Mike Sheen
16th April 2019 | 3 min read
Regtech Around The Globe
U.S. SEC freezes assets over suspected insider trading in Anadarko
" NEW YORK (Reuters) - The U.S. Securities and Exchange Commission on Monday obtained an asset freeze in connection with suspected insider trading in Anadarko Petroleum Corp before the oil company agreed to be acquired by rival Chevron Corp. "
Written by: Stephanie Kelly, Pete Schroeder
29th April 2019 | 4 min read
Ex-Heartland CEO settles SEC insider trading charges he tipped partner about merger
“ The former chief executive of Heartland Payment Systems Inc agreed to pay a $250,628 civil fine to settle U.S. insider trading charges that he tipped his longtime romantic partner about the payment processor’s $4.3 billion takeover by Global Payments Inc. ”
Written by: Reuters
26th April 2019 | 5 min read
Who To Follow