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FCA fines ED&F Man Capital Markets Ltd £17.2m for serious failings which enabled millions in illegitimate tax reclaims
The FCA has fined ED&F Man Capital Markets Ltd (‘MCM’) £17,219,300 for serious failings in its oversight of cum-ex trading. These failings allowed MCM to collect fees for trading strategies designed to enable its clients to illegitimately -
FCA warns of increased risk of online investment fraud, as investors lose £87k a day to binary options scams
The FCA has urged the public to be vigilant to the threat of online investment fraud. -
Insurance brokers: serving consumers and businesses in times of uncertainty and change
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the British Insurance Brokers' Association (BIBA) Conference. -
Royal Bank of Scotland fined £5.6m for failing to properly report over a third of transactions
The Royal Bank of Scotland (RBS) has been fined £5,620,300 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions they made in wholesale markets, and in some instances, failing to report transactions at all. -
FCA response to the independent panels’ 2022/23 annual reports
In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports. -
FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex trading
We have fined Sapien Capital Ltd £178,000 for failings which led to the risk of facilitating fraudulent trading and money laundering. -
Banking leaders share their insights on adopting the Senior Managers and Certification Regime
Watch senior leaders from four financial services firms talk about their experiences of adopting the Senior Managers and Certification Regime. -
How can we ensure that Big Data does not make us prisoners of technology?
Speech by Charles Randell, Chair, Financial Conduct Authority and Payment Systems Regulator, delivered at Reuters Newsmaker event, London. -
FCA warns public of investment scams as over £197 million reported losses in 2018
The FCA warns investors to be vigilant to the threat posed by investment scammers, as data from Action Fraud reveals over £197 million reported losses in 2018. -
Information on enforcement actions for non-compliant Personal Account Dealing (PAD) and MiFID II transaction reporting - March 2023
FCA provide information on enforcement actions for non-compliant Personal Account Dealing (PAD) and MiFID II transaction reporting - March 2023.