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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 -
Statement on communications in relation to PRIIPs
This statement relates to concerns raised about the performance scenarios in the Key Information Document (KID). -
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. -
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. -
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). -
Statement on transitional arrangements for trading venues under MiFIR Article 54(2)
Statement on transitional arrangements for trading venues under MiFIR Article 54(2). Statements First published:. 03/01/2018. Last updated: 03/01/2018. Share page. Statement on transitional arrangements for trading venues under MiFIR Article 54(2). -
FCA statement on European Commission announcement on the Insurance Distribution Directive (IDD)
FCA statement on European Commission announcement on the Insurance Distribution Directive (IDD). Statements First published:. 21/12/2017. Last updated: 05/01/2018. Share page. FCA statement on European Commission announcement on the Insurance -
FCA statement on EU withdrawal
FCA statement on EU withdrawal. Statements First published:. 20/12/2017. Last updated: 20/12/2017. FCA statement on EU withdrawal. On December 15 2017 The European Council confirmed that sufficient progress had been made to move to the second phase -
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