Compliance and Enforcement Newsletter January 2023
Jan 31, 2023 11:34:37 AM
Here's an overview of our monthly compliance and enforcement updates:
- Final Notice issued to former CEO for anti-money laundering failings
- FCA raises concerns over problem behaviours linked to trading app design
- Newly authorised firms get FCA support on financial promotions and other rules
- FCA issues final notice to Carlo Palombo
- FCA publishes Decision Notices against bond traders over market manipulation
How can we help you?
If you’d like to know more about how we can help you with your compliance arrangements, or any other regulatory compliance issues, our specialist team is here to help.
Contact us today on 0207 436 0630 or email info@thistleinitiatives.co.uk.