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FCA

FCA_regulator

FCA fines Deutsche Bank with £4.7m

28/08/2014(0)
Deutsche Bank AG London Branch (Deutsche) has been fined £4,718,800 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions between November 2007 and April 2013. Deutsche failed to ... Read More
FCA_regulator

FCA fines RBS and NatWest

27/08/2014(0)
The Financial Conduct Authority (FCA) has today fined The Royal Bank of Scotland and NatWest £14,474,600 for serious failings in their advised mortgage sales business. The firms failed to ... Read More
FCA_regulator

FCA warning against unauthorised firm

26/08/2014(0)
The Financial Conduct Authority (FCA), the British financial regulator, has issued a warning informing the investors that “Capital Mergers and Acquisitions” (www.capitalmajp.com) is not permitted to provide any financial services ... Read More
FCA_regulator

FCA warns investors against clone firms

21/08/2014(0)
Financial Conduct Authority (FCA), the British regulator has issued a warning against “AMT Markets” (www.amt-markets.co.uk) and “Euromax Finance Limited” (www.eurofinance.com) informing the investors that the two companies are the ... Read More
FCA_regulator

FCA Thematic Review: Best Execution and Payment for Order Flow (‘PFOF’)

12/08/2014(0)
Financial Conduct Authority (FCA) Thematic Review: Best Execution and Payment for Order Flow (‘PFOF’) FCA thematic review of best execution and Payment for Order Flow (‘PFOF’) found that many ... Read More
FCA_regulator

FCA warning against unauthorised firms

08/08/2014(0)
The Financial Conduct Authority (FCA), the British financial regulator, has issued a warning informing the investors that “Thungen Financial/ Thüngen Financial” (www.thungenfinancial.com) and “Leveltrade Ltd t/a LevelTrade” (www.leveltrade.com) are not ... Read More
FCA_regulator

Stonebridge International Insurance Limited fined by FCA with £8.4m

07/08/2014(0)
The Financial Conduct Authority (FCA) has fined Stonebridge International Insurance Limited (Stonebridge) £8,373,600 in relation to sales of accident insurance products. Between April 2011 and December 2012, Stonebridge targeted ... Read More
FCA_regulator

FCA sets out its approach to financial promotions in social media

06/08/2014(0)
The Financial Conduct Authority (FCA) has today launched a consultation which is intended to clarify its approach to the supervision of financial promotions in social media. The FCA’s overall ... Read More
FCA_regulator

FCA restricts distribution of CoCos to retail investors

05/08/2014(0)
The Financial Conduct Authority (FCA) will restrict firms from distributing contingent convertible securities (CoCos) to the mass retail market from 1 October 2014. CoCos are highly complex and the ... Read More
FCA_regulator

FCA reports that firms fail to deliver best execution

31/07/2014(0)
The Financial Conduct Authority (FCA) has released a review setting out some major points, highlighting the fact that most firms fail to properly apply the rules on best execution when ... Read More
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