EMSA Peer Review

As may be recalled, last July the FCA released the results of a thematic review (TR14/13) on ‘Best execution and payment for order flow’

CASS changes

Second phase of changes to the CASS regime come into effect

SEC Inspection Priorities

On 13 January 2015, the SEC's Office of Compliance Inspections and Examinations released their 2015 Examination Priorities.

Regulating Sonia

SONIA (Sterling Overnight Index Average) is one of seven benchmarks which will come under FCA regulation from 1 April 2015.