The Appointed Representatives Regime (ARR), a well-known and important feature of the UK regulatory landscape, enables certain businesses – Appointed Representatives (ARs) – to conduct
Continue Reading Principals in the Spotlight as UK’s FCA Consults on Changes to Appointed Representatives Regime

In a February 2019 speech, the FCA’s Director of Market Oversight, Julia Hoggett, said the following:

The life blood of all well-functioning markets is the

Continue Reading The Financial Conduct Authority – Part 2 – Criminal & Civil Insider Dealing