EFFECTA’S Essential Insights: A Regulatory Update
October 31, 2022
Welcome to EFFECTA’s Essential Insights, a quarterly newsletter aimed at providing its readers with succinct overviews of some of the key regulatory issues currently faced by firms. Historically, in the knowledge of it being holiday...
FCA Financial Promotion Rules
October 4, 2022
FCA Financial Promotion Rules The FCA have recently published a policy statement (PS22/10) “Strengthening our financial promotion rules for high-risk investments and firms approving financial promotions”. These new rules for authorised firms are part of...
EFFECTA’S Essential Insights: A Regulatory Update
July 20, 2022
Welcome to the second edition of EFFECTA’s Essential Insights, a quarterly newsletter aimed at providing its readers with succinct overviews of some of the key regulatory issues currently faced by Firms. However, in this edition,...
Diversity and Inclusion: Why Should You Care?
July 14, 2022
When you tell someone that you wish to talk to them about Diversity and Inclusion and why it is important for their company, the responses tend to be ones of frustration or disengagement. It’s easy...
The FCA ‘focus in’ on Financial Promotions
June 10, 2022
For as long as I have been working in Compliance, Financial Promotions have been a challenge for Marketing and Compliance teams alike, looking to find the right balance between highlighting the commercial advantages of a...