Latest update from the FCA; The Financial Conduct Authority (FCA) has fined BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited (together, BGC/GFI) £4,775,200 for failing to ensure they had appropriate systems and controls […]
The latest from the FCA; Sigma Broking Limited (Sigma) has been fined £531,000 for failing to make reports crucial in fighting potential market abuse and three directors have been fined amounts totalling over £200,000, two […]
Latest update from the FCA; The Financial Conduct Authority (FCA) has fined Citigroup Global Markets Limited (Citigroup Global Markets) £12,553,800 for failing to properly implement the Market Abuse Regulation (MAR) trade surveillance requirements relating to […]
The Financial Conduct Authority (FCA) has finalised stronger rules to help tackle misleading adverts that encourage investing in high-risk products. Under the stronger rules, firms approving and issuing marketing must have appropriate expertise, and firms […]
Latest from the FCA; The FCA has issued a Decision Notice to One Life Funeral Planning Ltd (One Life) refusing the firm’s application for authorisation. One Life could not demonstrate that it was able to meet […]
The latest from the FCA; As the FCA continues its transformation, it has recruited three experienced individuals to its senior leadership team. Mel Gunewardena will take up a Senior Advisor role at the FCA. Mel […]
The latest from the UK Govt; The Charity Commission has announced that it has opened a statutory inquiry into Animal Protection Services (1186401) in relation to significant concerns about private prosecutions the charity brought against […]
Latest from the FCA; HM Treasury has announced that they have started the search for the next Chair of the FCA. While the search for Charles Randell’s permanent successor concludes, Richard Lloyd OBE will act as […]
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