Anthony Williams

Anthony Williams

BCLP

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FCA Enforcement Focus: Transaction Reporting

In what is a key FCA enforcement risk area, we study the common pitfalls firms encounter and the lessons firms can draw from the recent enforcement cases. Why is transaction reporting a key FCA priority? The transaction...more

5/8/2019  /  Corporate Governance , Financial Conduct Authority (FCA) , Internal Controls , MiFID II , Reporting Requirements , Risk Management , UK
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