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FCA

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Investigations have commenced into Barclays and Group CEO

10/04/2017(0)
 Barclays PLC and Barclays Bank PLC (Barclays) announce that the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have commenced investigations into: ·    Jes Staley, Group Chief Executive ... Read More
fca-building

FCA bans two former spread betting firm employees for market abuse

10/04/2017(0)
  The Financial Conduct Authority (FCA) has banned and imposed financial penalties on two former Worldspreads Limited (WSL) employees. WSL, which operated a spread betting business, collapsed in March ... Read More
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FCA publishes near final rules on MiFID II

03/04/2017(0)
FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation The Financial Conduct Authority (FCA) has today published near final rules ... Read More
fca-building

FCA fines former investment banker for sharing confidential information over WhatsApp

30/03/2017(0)
The Financial Conduct Authority (FCA) has today fined Christopher Niehaus, a former investment banker, £37,198 for sharing client confidential information over WhatsApp. The FCA found that Mr Niehaus failed ... Read More
FCA_regulator

The conduct regulator of UK warns about Prime FX

28/03/2017(0)
The conduct regulator for financial services firms and financial markets in the UK, the Financial Conduct Authority (FCA), has issued a press release to inform that the below firm ... Read More
fca-building

FCA UK announced appointment of a Non-Executive Director

21/03/2017(0)
The appointment, made by HM Treasury, is for an initial three year term starting 1 April 2017. Welcoming the appointment, FCA Chairman John Griffith-Jones said: “One of the FCA’s ... Read More
fca-building

Culture in financial institutions: it’s everywhere and nowhere; FCA Chief Executive

16/03/2017(0)
Highlights A firm’s culture emerges in large part from inputs that are its responsibility. It is for firms to ensure that their desired culture is consistent with appropriate conduct ... Read More
onestopbrokers-Regulators

Supervisory Authorities around the world warn for unathorised financial services providers

16/03/2017(2)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Ireland (Central Bank of Ireland), Spain (Comisión Nacional del Mercado de Valores – CNMV), Luxembourg (Commission de ... Read More
FCA_regulator

FCA UK warns for unauthorised financial services firm

14/03/2017(0)
The FCA UK has issued a press release to inform that the below firm has been providing financial services or products in the UK without its authorisation. Almost all ... Read More
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P2P lending platform granted full authorisation from the FCA

02/03/2017(0)
Proplend has issued an announcement to inform that it has been granted full authorisation from the Financial Conduct Authority (FCA) for peer to peer lending, paving the way for the launch ... Read More
Broker Cyprus TopFX