10 For 10: Top Compliance Stories For the Week Ending July 19, 2025
Daily Compliance News: July 15, 2025, The Fighting Workplace Bullying Edition
Everything Compliance: Episode 153, The CW 25 Edition
Compliance into the Weeds: Global Anti-Corruption Leadership
Daily Compliance News: March 18, 2025, The Slack Channel Edition
Podcast — UK FinReg Focus Areas in 2025: Retail Markets
Fintech Focus Podcast | Sanctions Compliance: Regulators Set Their Sights on Fintechs
Sanctions Compliance: Regulators Set Their Sights on Fintechs
Fintech Focus Podcast | The UK Fintech Investment Landscape
The Standard Formula Podcast | Developments on the Horizon for the UK Change-in-Control Regulatory Regime
Brexit & Financial Services: Preparing for the End of the Transition Period
On 22 August 2025, the Financial Conduct Authority (“FCA”) published its high level observations following a multi-firm review of algorithmic trading controls. During the review, the FCA assessed a sample of principal trading...more
The UK Financial Conduct Authority (FCA) has published the findings from its multi-firm review of principal trading firms' compliance with the detailed organisational requirements for algorithmic trading set out under the UK...more
In its May 2021 edition of Market Watch, the FCA described actions it took to address the impact which a firm’s trading algorithm was having in the market. Its concerns had been raised after the Regulator’s own internal...more
The FCA and PRA publish coordinated papers focused on risk management and governance in respect of algorithmic trading - On 12 February 2018, the UK Financial Conduct Authority (FCA) and the Prudential Regulatory...more
The FCA has published a report, clarifying its expectations of firms that develop or use algorithmic trading strategies. On 12 February 2018, the FCA published a report on algorithmic trading compliance in wholesale...more
The UK Financial Conduct Authority and Prudential Regulation Authority have published co-ordinated papers on their expectations around firms' use of algorithmic trading strategies in wholesale markets. Firms have had to...more
CFTC Brings First Insider Trading-Type Enforcement Action Based on New Anti-Manipulation Authority: Last week the Commodity Futures Trading Commission brought and settled its first enforcement action sounding in the...more