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FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions
The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in -
The FCA and Practitioner Panel launch joint survey for 2018
The FCA and Practitioner Panel joint survey is sent annually to a sample of the firms that we regulate. It gives firms an opportunity to provide their views on how we regulate the industry. -
Financial Conduct Authority consults on widening access to the Financial Ombudsman Service for small businesses
The FCA has launched a consultation on plans to give more small businesses access to the Financial Ombudsman Service. This follows a review of the protections available to small and medium sized enterprises as users of financial services. -
ESMA’s Call for Evidence on temporary product intervention measures applicable to contracts for difference and binary options sold to retail clients
On 18 January 2018, the European Securities and Markets Authority (ESMA) issued a consultation paper on applying potential product intervention measures to contracts for differences (CFDs) and binary options sold to retail clients. -
FCA issues list of unauthorised binary options providers
The Financial Conduct Authority (FCA) has today published a list of 94 firms without FCA authorisation that it understands to be offering binary options trading to UK consumers. -
2018 fines
This table contains information about fines published during the calendar year ending 2018. The total amount of fines is £60,467,212. -
FCA fines and bans former RBS trader, Neil Danziger
The Financial Conduct Authority (FCA) has imposed a financial penalty of £250,000 on former Royal Bank of Scotland (RBS) interest rate derivatives trader, Neil Danziger, and prohibited him from performing any function in relation to any regulated -
Charles Randell appointed new Chair of the FCA
HM Treasury has today announced the appointment of Charles Randell CBE as the new Chair of the Financial Conduct Authority (FCA). -
FCA response to ESMA's public statement on LEIs
On 20 December, ESMA issued a public statement to support the smooth introduction of the Legal Entity Identifier (LEI) requirements for MiFID II implementation. -
FCA stops unlawful foreign exchange investment scheme
Following an application by the FCA, the High Court yesterday made orders against a number of persons involved in carrying on an unauthorised foreign exchange investment scheme. The scheme took in at least £1.2 million from 65 investors but none