Sat, Oct 12, 2024

The official Financial Regulation Journal of SAIFM

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FCA – Call for input on PRIIPS
Regulation and Ethics

FCA – Call for input on PRIIPS

FRJ -
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FCA scrutinises market abuse risk management at asset managers
Featured

FCA scrutinises market abuse risk management at asset managers

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Financial Stability Board Consults on Compensation Data Reporting to Address Misconduct Risk
Regulation and Ethics

Financial Stability Board Consults on Compensation Data Reporting to Address Misconduct Risk

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Central Banks put weight behind voluntary codes
International

Central Banks put weight behind voluntary codes

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No Leniency Shown to First AIM Issuer Fined by the FCA under the Market Abuse Regulation
International

No Leniency Shown to First AIM Issuer Fined by the FCA under the Market Abuse Regulation

FRJ -
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ESMA to use new powers to attack the sale of CFDs and binary bets to retail investors
International

ESMA to use new powers to attack the sale of CFDs and binary bets to retail investors

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