FCA Publishes Final Guidance on Oversight of Member Controls by RIEs and MTFs

more+
less-

Following its consultation in April, on August 22, the FCA released its final guidance on the oversight of member controls carried out by recognized investment exchanges (RIEs) and firms operating multilateral trading facilities (MTFs).

The guidance discusses the “risk based” and “proactive” approach the FCA expects RIEs and MTFs to take to ensure ongoing oversight of the systems and controls which their member firms operate to comply with the RIE’s or MTF operator’s rulebook. Guidance.

 


DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

© Orrick - Structured Finance Group | Attorney Advertising

Written by:

more+
less-

Orrick - Structured Finance Group on:

Reporters on Deadline

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name.
×
Loading...
×
×