LETFs: The Trojan Horse to the everyday Investor
Mis-selling of ETFs is damaging and illegal, but the mis-selling of Leveraged ETFs (LTEFs) has the potential to be far more catastrophic.
Navigating the Maze: What Crypto Firms Should Consider to Be Compliant with the New Financial Promotion Regime.
Over the past year, the UK’s crypto landscape has changed! The Financial Conduct Authority (FCA) implemented more rigorous financial promotion rules for cryptoassets, effective as of October 2023. Further from February 2024 the new legislation for the Financial Promotions Gateway Regime came fully into force.
GDPR Accountability: avoid fines, adherence is easier than you think – Part 2
Despite Art. 5 GDPR referring to data controllers, in practice, the principle of accountability applies equally to processors and controllers of data. Most organisations, including those whose commercial activities are focused on data processing, are data controllers in some way.
SM&CR: Accountability in an AI-enabled World
On the 9th of December 2023, it will be four years since the Senior Management and Certification Regime (SM&CR) became applicable to solo-regulated firms. What has happened since then?
The AI Sliding Scale – A Tool or a Threat?
AI regulation feels unclear to say the least. We seek to delve into what has been done and what is intended to be done so far to prepare for the forthcoming compliance duties that will affect many of us.
Cryptoasset Firms Brought Under UK Financial Promotion Regulations: A Comprehensive Analysis
The rapid growth of the cryptocurrency market over the past decade, with digital assets becoming increasingly mainstream, has caught the attention of regulatory authorities.
GDPR Accountability: avoid fines, adherence is easier than you think – part 1
While updating Leo’s privacy and GDPR governance modules in our RegTech Software we realised that one of the most important principals of GDPR- the principal of accountability is widely misunderstood by many businesses.
The FCA’s Consumer Duty: Implementation and What’s Next?
The FCA’s Consumer Duty comes into force this Monday, July 31st. The FCA will identify firms whose responses to the survey did not confirm that they were prepared for the new law and impose appropriate sanctions as necessary.
GDPR and AI crossroads: How to balance Data Privacy and AI Governance?
What’s happening?
Everyone is talking about how to regulate AI. Though it looks like that’s all it is, just talks. Yet, on the 14th of June, the European Parliament passed a draft law on AI aimed at building a ‘Responsible AI’- which interestingly
The GDPR’s 5th Anniversary: Top 3 Lessons
1.What is GDPR’s biggest misconception?
2.Why should SMEs care about the GDPR if regulators seem to be focussing on the big tech companies?
3.What are the most overlooked requirements of the GDPR?
