Legal & Regulation

Sponsored by Apperio

Apperio provides in-house legal departments and finance teams with complete transparency and clarity on their external legal spend, including historical data all the way up to accruals / unbilled work-in-progress (WIP).

Logo
Story

SquareBook secures FCA approval

SquareBook secures FCA approval

Following participation in the FCA’s Sandbox initiative in 2018/2019, SquareBook has received regulatory authorisation under Article 25 (2) of the Regulated Activities Order to ‘make arrangements with a view to transactions in investments’. 

Regulation

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

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

Connect with ACA Compliance Group

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). Firms and employees are at risk of regulatory sanctions – including, for individuals, the possibility of not being found to be “fit and proper” – for failure to fulfil the FCA’s evolving diversity and inclusion (D&I) expectations.