Digital Assets Report


Martin Lovick, ACA Compliance

Firms’ non-financial misconduct under FCA spotlight thanks to SM&CR

By Martin Lovick (pictured), Senior Principal Consultant, ACA Compliance Group – Sexual harassment and other forms of “non-financial misconduct” are now on equal footing with types of financial misconduct, such as market abuse, for the UK Financial Conduct Authority (FCA).

UK flag

19 FCA SMCR investigations bring just one enforcement 

Research by global financial services regulatory consultancy Bovill finds that despite the FCA pursuing 19 investigations under the Senior Managers and Certification Regime (SMCR), to date there has been only one successful enforcement action.   The findings come two and

Enrico Bruni, Tradeweb

Tradeweb secures OTF authorisation

Tradeweb has secured authorisation from the UK’s Financial Conduct Authority (FCA) to operate an Organised Trading Facility (OTF), effective from 3 January 2018. Tradeweb will be able to offer its clients greater flexibility to choose the type of venue and

FCA steps up number of enforcement cases

Michael Potts, managing partner at Byrne and Partners, comments on the news that the number of cases opened by the FCA doubled between 2014 and 2017… These statistics represent a clear shift in both the behaviour of the FCA and

Bank of England

BofE raises interest rates by 0.25 per cent

The Bank of England has raised interest rates by a quarter point to 0.5 per cent, the first interest rate rise in a decade. Commenting on the decision, Andrew Fowkes, Head of Retail Centre of Excellence, SAS UK & Ireland


UK Treasury Committee urges regulation for ‘Wild West’ crypto-assets

‘Wild West’ crypto-assets should be regulated according to the UK Treasury Committee which has published a unanimously-agreed report on crypto-assets for its Digital Currencies inquiry. The report finds that problems include volatile prices, hacking vulnerabilities, minimal consumer protection, and anonymity


06 June, 2024 – 5:00 pm

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