-
FCA reviews inside information handling at firms
FCA Market Watch 83 addresses a number of practical compliance challenges including controlling inside information flow, multiple brokers undertaking market soundings, compliance risks at smaller firms and personal account dealing.
-
Warning for HR as Nestlé CEO dismissed over undisclosed relationship
We discussed the legal consequences of violating codes of conduct and relationship policies with leading employment law experts.
-
The ghost in the machine: Why culture still eats RegTech for breakfast
If billions in annual technology spend still leaves us exposed, it’s worth asking: Is the issue a lack of tools, or a lack of organizational capacity to use them effectively?
-
FCA Market Watch: Remediation, back reporting and breach notifications
FCA highlights issues in MiFID reporting requirements and advises firms to update and improve their processes.
-
McKinsey changes leadership election process after succession conflicts
The firm will elect a global managing partner for a single six-year term, with a confirmation vote after four years.
-
FCC approves $20 billion Verizon-Frontier merger
Deal approval follows the axing of DEI programs by Verizon.
-
PRI Pathways: What you need to know about the new framework
Signatories choose a Pathway based on their approach to responsible investment risk-adjusted financial returns.
-
FCA concerned about conflicts of interest at firms managing private assets
Dear CEO letter to asset managers also highlights market integrity and consumer outcomes as key supervisory priorities.