As the CTA Compliance Manager, it is my objective to support members of the CTA to ensure they are complying with all EU and UK laws, policies and regulations, alongside the rules and regulations of the CTA.
It is critical that the whole industry complies with relevant legislation. We are all responsible for proactively identifying, evaluating, mitigating and reporting on compliance risks across our industry. This is in all our interests so that our industry can flourish and thrive into the future. We cannot afford to allow past mistakes to be repeated.
The industry is rapidly growing and some new companies may be unaware of the relevant legislation and regulations. If you have been made aware of a breach of compliance within the industry, please contact my team with details and we will work with them towards a solution.
Again, if you have any compliance related questions, please feel free to contact me:
Nicola Dowling - CTA Compliance Manager