Search Results for: UK FCA
FCA fines Interactive Brokers (UK) Limited £1,049,412
January 26th, 2018
FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions The Financial Conduct Authority (FCA) has imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 ...
FCA UK released the appointment of new Chair
January 8th, 2018
HM Treasury announced the appointment of Charles Randell CBE as the new Chair of the Financial Conduct Authority (FCA). Charles is currently an external member of the Prudential Regulation Committee of the Bank of England and a non-executive board ...
FCA UK Warns About Investing In Cryptocurrency CFDs
November 15th, 2017
The Financial Conduct Authority, the conduct and prudential regulator for financial services firms and financial markets in the UK, has issued a warning to inform public and investors in relation to the risks of investing in cryptocurrency CFDs. Contracts ...
FCA UK bans and fines financial advisors
October 13th, 2017
The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 for attempting to mislead the FCA during an FCA interview. ...
FCA UK sets out scope of Investment Platforms Market Study
July 17th, 2017
The Financial Conduct Authority (FCA) has today published the Terms of Reference for the Investment Platforms Market Study, which sets out the scope and topics that will be covered. Investment platforms are increasingly used by consumers and financial advisers ...
Chairman of the Financial Conduct Authority UK confirms plan to leave the FCA
June 20th, 2017
John Griffith-Jones, Chairman of the Financial Conduct Authority (FCA) and the Payment Systems Regulator (PSR), has confirmed that he will leave both organisations at the end of his term of office, on 31 March 2018. John Griffith-Jones commented: “I ...
FCA UK issued an update on regulatory sandbox
June 15th, 2017
The Financial Conduct Authority of UK (FCA UK) today provides an update on its regulatory sandbox and unveils the list of firms that were successful in their applications to begin testing in the second cohort of the sandbox. The ...
FCA UK warns: Beware from fake FCA emails
May 10th, 2017
The Financial Conduct Authority (FCA) of UK has issued a notice to warn that the Authority is aware that fraudsters are sending emails that appear to be from an FCA email address or refer to the FCA in the ...
FCA UK reports number of complaints higher for last reporting period
April 27th, 2017
The Financial Conduct Authority (FCA) has published data on the number of complaints reported by firms under new rules which came into force on 30 June 2016. The total number of complaints reported by firms in the second half ...
FCA UK announced appointment of a Non-Executive Director
March 21st, 2017
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 key strategic objectives is to ensure we secure an appropriate ...
