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Chris Caldwell Comment On Special Notice – 10/21/22

Modernising reporting instructions is a key pillar of the FCA’s work, alongside the Bank of England, to transform data collection. The other pillars of our Transforming Data Collection programme are integrated reporting and data standards, which we believe will collectively support us to achieve a vision of digital regulatory reporting and digital regulation. Your initiative is a hugely interesting and important development in modernising reporting instructions and in pursuit of the digital regulatory reporting and digital regulation vision.

2019060646801 Laidlaw & Company (UK) Ltd., CRD 119037 AWC gg (2023-1679357997637).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060646801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Laidlaw & Company (UK) Ltd. (Respondent) Member Firm CRD No. 119037 Pursuant to FINRA Rule 9216, Respondent Laidlaw & Company (UK) Ltd. (Laidlaw) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.