Search Results for: UK FCA
FCA warning
March 20th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a Warning informing the investors that Axis Capital Limited is not permitted to provide financial services or products. Furthermore, FCA points out that Axis Capital Limited is neither regulated ...
FCA fined Besso Limited
March 19th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has fined Besso Limited £315,000 for a failure to take reasonable care to establish and maintain effective systems and controls for countering the risks of bribery and corruption. According to ...
FCA and Bank of England agree Memorandum
March 18th, 2014
The Financial Conduct Authority (FCA) and the Bank of England, including the Prudential Regulation Authority (PRA), have agreed a Memorandum of Understanding (MoU) that sets out how they co-operate with one another in relation to the supervision of markets ...
FCA warning for unauthorised firm
March 18th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a Warning informing the investors that “Riggs Bank Europe Limited” is not permitted to provide financial services or products. Furthermore, FCA points out that “Riggs Bank Europe Limited” is ...
FCA warning for clone firm
March 17th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a Warning informing the investors that “Berenberg Private Banking” is a clone firm of the FCA authorised firm “Joh. Berenberg, Gossler & Co. KG” and therefore it is not ...
FCA warning for a clone firm
March 13th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a Warning informing the investors that BlackRock Fund Managers Limited, www.blackrock.co.uk (clone firm is using Authorised Firm’s website) is a clone firm and is not permitted to provide any ...
Warning from FCA of a clone firm (FA International)
March 12th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a Warning informing the investors that FA International (www.fa-international.com) is a clone firm and is not permitted to provide any financial services or products. FCA points out that ...
FCA: on SME Banking Market Study
March 11th, 2014
The FCA has announced that it has been working closely with the Office of Fair Trading (OFT) on the SME banking market study. The OFT has issued a market study update, which sets out a summary of the analysis ...
Brexit: Financial market participants whose activity might be impacted
December 29th, 2020
The European Securities and Markets Authority (ESMA) remind stakeholders to be aware and prepared for changes that will occur from 1 January 2021. On 29 March 2017, the United Kingdom (UK) notified the European Council of its intention to ...
Boston Prime disabled all trading services
January 27th, 2015
Following the decision of the Swiss National Bank and the volatility of EURCHF on January 15, another firm has disabled all trading services. Boston Prime Ltd., a UK FCA regulated firm, disabled all trading services as a result of ...
