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My Word Is My Bond…. Or IS it?
London Stock Exchange Motto “Dictum meum pactum” –  My word is my bond. Picture the scene – the late 1970’s / early 80’s the London Stock Exchange, full of individuals with brightly coloured jackets scribbling down prices on boards... READ MORE>>


Bed & BREXIT? OR Room Only?
Financial services regulation - what impact will Brexit have on regulated firms established in the UK, Europe and third country jurisdictions? Bed & BREXIT? OR Room Only? Neil Mathias is managing director and founder of... READ MORE>>


Transforming Culture in Financial Services
Having published a discussion paper on “Transforming Culture in Financial Services” on 12 March 2018, Andrew Bailey, the Chief Executive of the FCA, gave a speech to the Financial Conduct Authority conference where he emphasised... READ MORE>>


Son of MiFID – MiFID II
The European Commission’s proposal for MiFID II, published in October 2011, is the successor to the Investment Services Directive of 1993 and is the foundation of the EU regulatory framework for investment firms... READ MORE>>


Managing Social Media Risk
Put in place a policy that reflects your Firm’s approach and risk tolerance. Compliance sign-off of promotional and borderline promotional communications is always going to be seen as good practice... READ MORE>>


Financial Services Social Media
For a number of years, the FCA has been communicating with Firms and Consultants over the “fair, clear, and not mis-leading” rules surrounding Financial Promotions... READ MORE>>


The Birth Of Regulation – Part 2
So, following on, what happened next? My days on the London Stock Exchange floor were quickly going to come to an end. Things that were called “computers” were beginning to take over... READ MORE>>


The Birth Of Regulation
As I touched upon before, things had to change, and were going to change. Here we were in the middle of the 80’s, with highlighted hair, HUGE mobile phones and massive. BATTERY packs!!!... READ MORE>>


Crisis? What crisis?
The Financial Crisis and beyond… The much debated financial crisis didn’t leave the world of Regulation and Compliance alone. It wasn’t just the traders of Wall Street and the Dealers in Canary Wharf that were taking a hit... READ MORE>>


In The Next Part …
So, back in the day, we had the beginning, we have had the middle, now what do we have? A Licence to? Print Money? The Foreign Exchange Market was now electronic, the Pound was happily trading against worldwide currencies, and the newly elected Govt had decided to “Privatise” a lot of the Crown Jewels as they were so called... READ MORE>>


Compliance Feelings
I am guessing that “Compliance” is a word which does not tend to provoke the warmest of feelings in many of those on the front line whose job it is to make money? Compliance functions are seen by some to get in the way of the sharp end of the business and be rather bureaucratic... READ MORE>>



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