Compliance and Enforcement Monthly Newsletter April 2024
Apr 30, 2024 10:00:00 AM
Welcome to our monthly newsletter highlighting the latest developments in compliance and enforcement within the financial industry. In this edition, we delve into significant legal proceedings and regulatory actions aimed at upholding integrity and protecting investors.
Here's an overview of the updates:
- Stuart Bayes found guilty of insider dealing
- FCA secures £1.6m for investors from alleged unlawful investment schemes
- Competition Act 1998 decision: international money remittance
How can we help you?
If you’d like to know more about how we can help you with your compliance arrangements, or any other regulatory compliance issues, our specialist team is here to help.
Contact us today on 0207 436 0630 or email info@thistleinitiatives.co.uk.