SEC – CFTC Gather to Seek Regulatory Harmonization
The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) will meet on September 29 to discuss ways to harmonize regulatory matters more effectively. With the ad...
FCA continues to simplify supervisory communications
We’re making it easier for firms to find up-to-date supervisory communications on our website. We’re simplifying our multi-firm and thematic reviews and labelling those published before 2022 as �...
FCA closes Wellesley & Co Limited investigation
We have decided to take no further action against Wellesley & Co Limited (WCL) after our investigation found no evidence of serious misconduct. We announced the investigation into WCL in 2022 followin...