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An English lawyer’s view on the FIT 21 Bill which seeks to establish a framework for the issuance and trading of digital assets by the CFTC and the SEC.
The FCA has put forward plans for a new way to pay for investment research.
The Berne Agreement breaks new ground in the relationship between financial services in the UK and Switzerland.
Sam Tyfield considers the broader application for multinationals, market structure, technology, digital assets, regulation, and data privacy.
Internal investigation from 2019 uncovered rule-breaking and lax controls in sales of products to Spanish SMEs.
According to the FCA a “significant minority” of firms are not adhering to their compliance obligations and are exposing consumers to harm.