articles: CASS

Regulatory intervention: what next for the CFD industry?

An article discussing the concerns raised over the risks posed to retail investors from the provision of speculative products such as CFDs. It has been widely publicised, that the regulators are considering intervention, including possible measures such as leverage limits, guaranteed limits on client losses or restrictions on the marketing and distribution of these products.

Should you expect more from your CASS Auditors?

With increased regulatory focus, further complexity for CASS rules, and recording-breaking fines for CASS failings, it is paramount that you have an advisor who combines technical CASS expertise with an in-depth understanding of the industry. However, last year’s introduction by the Financial Reporting Council of rigorous new CASS audit led most fees to increase considerably. But are you getting value for money?