fca
Tullett Prebon fined £15.4m for control failures around broker conduct
Inter-dealer Broker Tullett Prebon (Europe) has been fined £15.4m by the UK’s Financial Conduct Authority (FCA) for lapses in its risk management…
Crypto index provider CF Benchmarks secures FCA licence
CF Benchmarks, a cryptocurrency index provider, has obtained a licence from the UK Financial Conduct Authority (FCA) to operate as…
UK and Australia watchdogs ink new pact for cooperation after Brexit
The UK Financial Conduct Authority (FCA) and the Australian Securities and Investments Commission (ASIC) have signed memoranda of understanding (MoU)…
FCA permanently forbids binary options trading
The Financial Conduct Authority (FCA) is set to put a permanent ban on the sale, marketing and distribution of binary…
FCA imposes penalty of £27.6m on UBS for reporting lapses
The UK’s Financial Conduct Authority (FCA) has slapped Swiss private banking giant UBS with a £27.6m ($36.61m) fine for misreporting…
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FCA proposes ban on investment platforms’ exit fees
The UK’s Financial Conduct Authority (FCA) has proposed a ban or cap on exit fees charged by investment platforms in…
FCA fines two asset managers for competition law violations
The UK's Financial Conduct Authority (FCA) has fined money managers Hargreave Hale and River and Mercantile Asset Management (RAMAM) for…
FCA tightens benchmark rules for fund managers
The UK’s Financial Conduct Authority (FCA) has released a set of new rules for fund managers, which mandates them to…
FCA signs MoUs with ESMA and EU regulators to prepare for no-deal Brexit
The UK’s Financial Conduct Authority (FCA) has inked memoranda of understanding (MoUs) with the European Securities and Markets Authority (ESMA)…
FCA unveils plans to prep up for no-deal Brexit
The Financial Conduct Authority (FCA) has published two consultation plans in preparation for UK’s departure from the European Union (EU)…