MiFID II Series 2 – Winter is Coming
So Game of Thrones completed its penultimate series 7 recently and MiFID commences its second series in just under four…
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MiFID 11 or Brexit, which is the bigger compliance problem?
With MiFID 11 commencing in just over ten months time and Brexit taking at least another two years, you would…
FCA ICAAP reviews and subsequent Individual Capital Guidance
The FCA has, today, issued a Dear CEO letter to IFPRU firms alerting them to the fact that their FCA…
What is the FCA’s “Project Innovate” And How Can It Help The Nascent Fintech Sector.
In this article brought to you by Pragmatic Compliance we’re going to first succinctly explain what precisely Project Innovate is,…