FCA, featured, Infinox, MiFIR
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Infinox Capital Limited has been fined £99,200 by the FCA for failing to submit 46,053 transaction reports.
In a “Dear CEO” letter, the UK FCA has informed wholesale firms of strategic areas which will be the focus of its program of proactive work.
Arian, cum-ex, FCA, featured
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The FCA has fined Arian Financial LLP £288,962.53 for failing to ensure it had effective systems and controls against financial crime.
Easy Exchange, FCA, featured, SPI
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The UK Financial Conduct Authority (FCA) has cancelled the registration of Easy Exchange Limited as an SPI.
FCA, featured, Part 4A permission
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The UK FCA has cancelled the permission of Barkestone Associates (Wealth Management) to carry on regulated activities.
Collateral P2P, FCA, featured
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The FCA has called for people who have invested in fraudulent peer-to-peer firm Collateral to come forward to the regulator.
FCA, featured, WealthTek
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The FCA has charged John Dance with 9 criminal offences, including multiple counts of fraud and money laundering.
FCA, featured, retail investors
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Latest FCA research reveals that young investors are making important investment decisions in a matter of hours.
FCA, featured, PISCES, private stock market
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PISCES will open the door to more opportunities for investors to take stakes in private companies.
The FCA has decided to ban Mr Richard Fenech and Ms Heather Dunne from working in financial services.
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