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UK’s FCA Turns Up the Heat on Wholesale Brokers over Compliance & Culture
Despite not being known as bastions of best practice for compliance, conduct, or culture, wholesale ... between the FCA and the broker community, noting at the time that “payment for order flow ... read more
Knocking on Government Doors: How Do You Respond to the Government Knocking on Your Door?
You can then use this information to follow-up with the agency and also verify the information ... you should first check to ensure that the government agency has jurisdiction over your company. If ... read more