Search Results for: Financial Industry Regulatory Authority
FCA on advisory firms
April 7th, 2014
The Financial Conduct Authority’s (FCA), has issued a press release arguing that too many advisory firms are not being clear with consumers on how much advice costs, the type of service they offer (whether it is restricted and the ...
FCA bans and fines trader for manipulating gilt price during QE
March 20th, 2014
The Financial Conduct Authority (FCA), the British financial regulatory authority has announced that Mark Stevenson, a bond trader with nearly 30 years’ experience, has been banned from the industry and fined £662,700 for deliberately manipulating a UK government bond (gilt) ...
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 ...
