Should the Chief Compliance Officer of FCA Regulated Firms be a Member of the Board of Directors?
May 12, 2023

In recent years, there has been a debate within the financial industry regarding whether the [...]

Dear CEO/Director” letter from FCA: A Missed Opportunity for Effective Guidance?
April 13, 2023

On 06 April 2023, the UK Financial Conduct Authority (FCA) published a letter addressing all [...]

FCA’s 2023/24 Business Plan: Commitment to Removing Non-Compliant Firms from Regulated Market
April 13, 2023

On 05 April 2023, the Financial Conduct Authority (FCA) released its business plan for 2023/24, [...]

cypriot cfd
Lessons from Cypriot CFD brokers checked-out of the UK market by the FCA?
July 1, 2020

Lessons from Cypriot CFD brokers checked out of the UK market by the FCA? In [...]

FCA Sector Review 2020
FCA Sector Review 2020
June 22, 2020

The 2020 FCA sector reviews and the pressures on CFD brokers keeping their retail clients [...]

contract for differences(CFD)
The Contract for Difference (CFD) sector is still a propriety within the FCA 2019/20 business plan, third year in a row!
November 6, 2019

Ever close & present sector attention The UK conduct regulator (Financial Conduct Authority – FCA) [...]

Reverse Oscillation-News and insight - FX&CFD
The use of Reverse solicitation to drive growth by UK-based FX and CFD firms
November 6, 2019

A European regime to harmonize practices & consumer protections MiFID II regime first introduced into [...]

MRL Compliance - FX&CFD
Is achieving MLR compliance for FX and CFD firms a burden or a cost of business? 
November 6, 2019

A diverse & complex industry sector The Forex (FX) and Contracts for Difference (CFD) sector [...]

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