Regulatory Conduct Reaches Wholesale and Institutional Sector – New Challenges for Compliance, Risk and HR.
In this quarter’s newsletter we are focusing on the wholesale sector – both buy-side and sell-side institutions and some of the key challenges that FCA regulation presents.
Up close and personal
It’s been a while coming but no one could say they were not warned. The FCA has long signalled its intention to focus its attention on the wholesale and institutional sector – both buy- and sell-side. For some time the primary conduct and associated T&C focus has been on the retail sector – mainly driven by the RDR shake up. As a result the wholesale sector has been lulled into a state of complacency.
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