The Rise of DIY Marketing in Financial Services
With consumers digesting more online information than ever, marketing teams in financial services are confronted with new compliance challenges.
How Did MiFID II Get Transaction Reports So Wrong?
With over £60 million in fines related to transaction reports, why is so much going wrong with Article 16 of MiFID II?
Could Brexit Bring MiFID III With It?
The world of financial services may be sick of Brexit and MiFID II, but MiFID III might be a very real risk just around the corner.
SM&CR: How Ready Should Asset Managers Be?
With only four months left, how ready is asset management for SM&CR? Here we look at what firms should have achieved by now in their preparation.
SMCR Implementation: Five Things You Need to Get Right
With not long left to get ready for SM&CR, here are the five most important things to remember about this game-changing regulation.
The Future of Data Protection and Personalisation
Marketing teams can't ignore regulation and data protection rules forever, but is enough being done to bring marketing and compliance together?
The Modern Challenges of Marketing Personalisation
Consumers have never been more cynical, so marketing needs to have personalisation. But can it be compliant at the same time?
A Complete Summary of SEC 17a-3 and 17a-4
In this post, we explore SEC 17a-3 and 17a-4 to help you understand everything about these crucial rules and how your firm can meet them.