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My Word Is My Bond…. Or IS it?My Word Is My Bond…. Or IS it?
My Word Is My Bond…. Or IS it? London Stock Exchange Motto “Dictum meum pactum” – My word is my bond ………. Or is it? … …. …. …. …..
Bed & BREXIT? OR Room Only?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
Transforming Culture in Financial ServicesTransforming 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
Son of MiFID – MiFID IISon 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
Managing Social Media RiskManaging Social Media Risk
Introduce a clear policy 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
Financial Services Social MediaFinancial 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. Whilst in the main, the