The FCA and Practitioner Panel joint survey for 2025 launches
The FCA and Practitioner Panel survey is being sent to all regulated firms so they can share their feedback on how the FCA regulates the industry. The survey is carried…
FCA issues first fine for transaction reporting failures under MiFIR
Infinox Capital Limited (Infinox) has been fined £99,200 by the FCA for failing to submit 46,053 transaction reports which risked market abuse going undetected. To monitor, detect and disrupt market…
FCA issues first fine for transaction reporting failures
Infinox Capital Limited (Infinox) has been fined £99,200 by the FCA for failing to submit 46,053 transaction reports which risked market abuse going undetected. To monitor, detect and disrupt market…
Progress on the FCA’s case against care home investment scheme
We welcome a positive outcome for investors, following our High Court proceedings over collective investment schemes. We brought a High Court claim against Lupton Fawcett LLP in respect of work…
FCA review finds gaps remain in brokers’ money laundering defences
The FCA has found wholesale brokers need to enhance their systems, controls, risk awareness and training to guard against money laundering. The FCA focused on wholesale brokers in its review…
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