Uncategorized

September 25, 2026 @ 5:15 pm By JD Alois  |  

SEC Commissioner Hester Peirce, who has completed two terms at the nation’s securities regulator, will end her tenure at the beginning of next month. In a post on X, Commissioner Peirce shared a letter to President Donald Trump thanking him for the chance to serve… Read More

September 14, 2026 @ 1:45 pm By JD Alois  |  

Anthropic has announced that Claude for financial advisors is now available. Claude for Financial Advisors streamlines and automates tasks that often take up much of the time financial advisors spend serving customers. According to a blog post, Claude prepares briefs, summaries, and drafts analyses for… Read More

August 25, 2026 @ 10:30 pm By FCA  |  

This post was originally published on fca.org.uk  The taskforce will inform our long-term approach to harmonising transaction and post-trade reporting requirements across UK Markets in Financial Instruments Regulation (UK MiFIR), UK European Market Infrastructure Regulation (UK EMIR) and UK Securities Financing Transactions Regulation (UK SFTR)…. Read More

August 25, 2026 @ 10:30 pm By FCA  |  

This post was originally published on fca.org.uk  In September 2025 Mr Burford, 86, was sentenced to 2 years in prison for defrauding over 100 investors out of £1m. He offered trade alerts and investment opportunities in managed ‘funds’, despite lacking FCA authorisation. The FCA found… Read More

August 25, 2026 @ 10:30 pm By FCA  |  

This post was originally published on fca.org.uk  Think of the last time you made a payment, transferred money, used a banking app or logged on to online financial services. Did you give much thought to the infrastructure that makes those essential everyday transactions possible? Let’s… Read More

August 25, 2026 @ 10:30 pm By FCA  |  

This post was originally published on fca.org.uk  EFG approved financial promotions which failed to disclose very high commission fees charged by its appointed representatives and other introducers for marketing the minibonds to investors. Appointed representatives carry out regulated activities under the responsibility of an authorised… Read More

August 25, 2026 @ 10:30 pm By FCA  |  

This post was originally published on fca.org.uk  If your loan was sold on before the end of its fixed term, the purchaser may now be responsible for administering the scheme.   Original lenders and debt purchasers must cooperate with one another when carrying out their… Read More

August 25, 2026 @ 10:30 pm By FCA  |  

This post was originally published on fca.org.uk  Ms Beck entered a not guilty plea and the date of her trial has been set as 12 June 2028. It is alleged that Ms Beck promoted buying and selling Foreign Exchange Contracts for Difference through social media… Read More

August 25, 2026 @ 10:29 pm By FCA  |  

This post was originally published on fca.org.uk  The package confirms the framework for a future equity consolidated tape, consults on targeted market structure reforms and introduces an interim market activity reporting tool for shares.  UK equity markets offer investors a wide choice of trading options…. Read More

August 25, 2026 @ 10:29 pm By FCA  |  

This post was originally published on fca.org.uk  Transaction reports are critical to the FCA’s ability to detect and investigate market abuse, monitor market functioning and supervise firms effectively. The new rules are designed to ensure the FCA continues to receive accurate, high-quality data while eliminating… Read More

August 25, 2026 @ 10:29 pm By FCA  |  

This post was originally published on fca.org.uk  The Tribunal agreed that both acted dishonestly by providing a backdated appointed representative agreement to the FCA. The Tribunal found that Ms Dunne falsely claimed she had given advice to some pension schemes before she had done so…. Read More

August 25, 2026 @ 10:29 pm By FCA  |  

This post was originally published on fca.org.uk  This will allow the UK listings market to compete more effectively with global markets. The reforms will reduce execution risk for issuers, lower compliance costs and make it easier for companies to access public markets. As part of… Read More

August 25, 2026 @ 10:29 pm By FCA  |  

This post was originally published on fca.org.uk  Firms tell us that complying with our requirements can be a burden. They have to keep up with changes, understand what we expect and embed new practices across multiple systems and teams. All of this takes time and… Read More

August 25, 2026 @ 10:29 pm By FCA  |  

This post was originally published on fca.org.uk  Firms including unregulated lenders, safe custody providers, money brokers and financial leasing companies, need to be registered with us for anti-money laundering purposes. If you’re carrying out these activities without being registered, you should submit an application for… Read More

August 25, 2026 @ 10:29 pm By FCA  |  

This post was originally published on fca.org.uk  ClearScore, Modulr, Teya, Urban Jungle and Zilch, spanning payments, consumer finance, credit information and insurtech, are the first firms regulated solely by the FCA to take part.   The Scale-up Unit gives firms tailored regulatory support as they… Read More

August 25, 2026 @ 10:29 pm By FCA  |  

This post was originally published on fca.org.uk  What our market engagement tells us about readiness We’re pleased to say most market participants we’ve engaged with have met our expectations. This includes: Last year: finalising T+1 project plans and securing appropriate budget and governance for those… Read More

August 25, 2026 @ 10:29 pm By FCA  |  

This post was originally published on fca.org.uk  The former managing director of the firm, Esmeralda Toni, has also been fined £121,200 for serious misconduct and banned by the FCA. During his time at BHAM, Mr Taylor made misleading statements and falsified information during 2 separate… Read More

August 25, 2026 @ 10:29 pm By FCA  |  

This post was originally published on fca.org.uk  Sabina will be based at the British Deputy High Commission in Mumbai and Darine will be based at the British Embassy in Abu Dhabi. These appointments expand the FCA’s global presence, joining a global network that includes the… Read More

August 25, 2026 @ 10:29 pm By FCA  |  

This post was originally published on fca.org.uk  Mr Duckett was a senior manager at Beauforce Corporation Limited, a debt management firm. The High Court has disqualified Mr Duckett from acting as a company director for 10 years. It found that he had failed to maintain… Read More

August 25, 2026 @ 10:29 pm By FCA  |  

This post was originally published on fca.org.uk  Mr Hadjigeorgiou was the former director and chief executive officer (CEO) of SVS Securities Plc (SVS), a discretionary fund manager. The FCA found that Mr Hadjigeorgiou failed to properly manage SVS and protect its customers’ interests. While he… Read More