FCA SYSC 9.1
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Learning the lessons of the Citi 'fat finger' trading case
The Citi case highlighted compliance deficiencies compounded by human error. Here are some practical tips to avoid making the same mistakes.
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"We need to work smarter" says FCA enforcement chief
Therese Chambers outlined new enforcement strategy to speed up investigations and clarified new enforcement publicity proposals.
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How employers should navigate the scrapping of the banker bonus cap
Now that the cap has been removed, we look at the practical implications for banks, building societies and PRA-designated investment firms.
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Comms monitoring takes centre stage with global regulators
If your firm is subject to one or multiple regimes, you should ensure your controls and approach are aligned with the relevant regulators’ expectations.
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FCA loses high profile Upper Tribunal enforcement cases
The judgment is critical of the FCA's conduct of the investigation and enforcement processes.
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FCA raises concerns about CFD firms
According to the FCA a "significant minority" of firms are not adhering to their compliance obligations and are exposing consumers to harm.
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FCA proposes rules for pensions dashboard firms
The FCA will be responsible for regulating pensions dashboard services and is consulting on a new regulatory framework for firms providing these; the consultation closes on 16 February 2023.
Further Reading
