Blog
Press Round-Up: Regulatory and Professional Discipline – May 2026
Jack Garden
22 January 2018
MiFID II – an introduction
The Markets in Financial Instruments Directive (MiFID) is the EU legislation that regulates financial services firms who provide services to clients linked to ‘financial instruments’ (shares, bonds, units in collective investment schemes and derivatives), and the venues where those instruments are traded.
15 January 2018
FCA sounds warning on retail CFD market
The FCA has warned contracts for difference (CFD) brokers to treat their customers fairly or face regulatory action.
3 January 2018
FCA fines experienced bond trader for negligent market abuse
The Financial Conduct Authority (FCA) recently fined former Bank of America Merrill Lynch International Limited (BAML) bond trader, Paul Walter, £60,090 for engaging in market abuse.
25 September 2017
FCA Enforcement: The calm before the storm?
This year we have heard a lot of talk from the FCA’s Enforcement and Market Oversight Division about their new approach to the enforcement of market conduct.
24 August 2017
#Brexit: Lords examine financial regulation and supervision
The House of Lords EU Financial Affairs sub-committee has launched an inquiry into the future of financial regulation and supervision following the UK’s departure from the EU.
