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OPINION: Challenges and balances for Consumer Duty one year on
One year into the FCA’s Consumer Duty, Gavin Stewart wrestles with the big supervision questions.
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Mock exams – your questions answered
The challenges and opportunities of preparing for a mock SEC examination.
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Federal court rules that Kalshi can host election bets
Kalshi has defeated the CFTC in its bid to list elections as event contracts.
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SEC approves new PCAOB Quality Control Standard QC 1000
The new standard is designed to drive registered public accounting firms to significantly improve their quality control systems.
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SEC Chair Gensler warns on AI conflicts of interest
As AI becomes increasingly widespread, financial institutions will have to make sure that their clients are coming first.
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FCA work in review September 2 – 6, 2024
Our regular at-a-glance guide to FCA activity.
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FCA sets out strong stance in annual report
Regulator highlights increase in interventions as staff and costs rise – but total fines collected are down significantly.
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How the new FCA Listing Rules have changed for closed-ended investment funds
Changes have simplified and streamlined the new rules.