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Dealers in principal under the regulatory spotlight

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Alexander Culley | C&G Regulatory Solutions

5 min read
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High level summary of the FCA’s supervisory priorities vis-a-vis Principal Trading Firms – key takeaways and top tips.

On the August 4, 2023 the UK Financial Conduct Authority (FCA) published its latest Dear CEO letter, this time setting out its supervisory priorities vis-a-vis Principal Trading Firms (PTTs, also known as “Dealers in principal”). As the name of the category suggests, PTTs are firms that generate much of their revenue

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