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Retail FX

UK Charges Ex-Janus Analyst and 4 Others with £1.5M Insider Dealing

  • The FCA alleged that they traded CFDs on 49 companies with their insider info.
  • Southwark Crown Court will hold a hearing on the case on February 22, 2023.
Wednesday, 25/01/2023 | 15:15 GMT by Solomon Oladipupo
FinTech

FCA Investigates 3 Money Transfer Firms for Possible Unfair Competition

  • The regulator believes the firms coordinated in 2017 to purposely overcharge customers.
  • The FCA is awaiting feedback from the firms to decide if the law has been broken.
Wednesday, 25/01/2023 | 13:09 GMT by Solomon Oladipupo
Retail FX

Leader of $3.6 Million Boiler Room Scam to Spend Additional 4 Years in Prison

  • Nascimento was initially sentenced in 2018 to 11 years behind bars.
  • His jail time was prolonged for failing to pay the confiscation order.
Tuesday, 17/01/2023 | 12:09 GMT by Damian Chmiel
Institutional FX

FCA Alarms Wholesale Brokers of Wind Down Risks in Adverse Markets

  • It warned that many brokers are working to wind down in an adverse market.
  • The regulator wants the CEOs of the brokers to discuss the concerns with the Boards.
Thursday, 12/01/2023 | 09:15 GMT by Arnab Shome
Institutional FX

FCA Fines GT Bank £7.67M for AML Lapses

  • The bank had lapses in AML systems and controls between October 2014 and July 2019.
  • It did not rectify the lapses despite multiple internal and external flags.
Tuesday, 10/01/2023 | 10:58 GMT by Arnab Shome
FinTech

UK FCA Extends 10% Depreciation Notifications Rule Pending Alternative

  • The regulator initially planned to stop enforcing the policy by December 31, 2022.
  • The FCA started adapting the temporary measure in March 2020.
Thursday, 22/12/2022 | 16:42 GMT by Solomon Oladipupo
Institutional FX

Hidden Road Becomes First Company to Secure Both Investment and Crypto FCA License

  • The FCA has so far issued only 41 digital asset licenses.
  • Hidden Road became the first company to hold an investment and crypto license.
Thursday, 22/12/2022 | 10:05 GMT by Damian Chmiel
Retail FX

FCA Adds 1,000 Employees in 2022 as Scrutiny Increases

  • Since the beginning of 2022, the FCA has warned of 1,800 potential financial frauds.
  • The regulator is stepping up its protection efforts as part of a 3-year strategy.
Wednesday, 21/12/2022 | 12:21 GMT by Damian Chmiel
Retail FX

FCA Sees Rising Costs of Compensation Scheme, Looks for Improvements

  • FSCS's increasing costs have begun to worry financial industry representatives.
  • The UK regulator makes another step in the compensation framework upgrade.
Wednesday, 14/12/2022 | 13:06 GMT by Damian Chmiel
Retail FX

FCA Seeks 'New Regime' in Providing Retail Investor Information

  • The FCA aims to ensure investors' clearer and more helpful trading information.
  • In 2022, the regulator has taken a number of measures to limit potential investment risks.
Tuesday, 13/12/2022 | 10:51 GMT by Damian Chmiel
CryptoCurrency

Moonpay Announces UK FCA Registration

  • MoonPay joins eToro, Revolut and Bitpanda on a relatively short list.
  • The FCA currently controls crypto firms only in terms of MRL.
Monday, 12/12/2022 | 13:21 GMT by Damian Chmiel
Institutional FX

FCA Fines Metro Bank £10M for Compliance Breach

  • Two former top executives were penalized for knowing about the incorrect data publication.
  • Both of the former executives appealed against the FCA's decision.
Monday, 12/12/2022 | 09:14 GMT by Arnab Shome
Retail FX

FCA Slaps £4,8m Fine on BGC Brokers and GFI Subsidiaries

  • BGC Brokers, GFI Brokers and GFI Securities must pay a fine of almost £4,8 million.
  • The inter-dealer brokers failed to implement MAR trade surveillance requirements.
Thursday, 08/12/2022 | 13:19 GMT by Damian Chmiel
Institutional FX

FCA Bans Three Ex-Mizuho Traders for Market Manipulation

  • Banned traders must pay £595,000 fines in total.
  • They disagreed with the decision and took it to the Upper Tribunal.
Wednesday, 07/12/2022 | 13:30 GMT by Damian Chmiel
Retail FX

FCA Fights Rogue Financial Ads

  • The British regulator wants to end misleading, unfair and illegal financial marketing.
  • Rogue financial promotions in 2022 brought ten times more FCA interventions than 2021.
Tuesday, 06/12/2022 | 11:30 GMT by Damian Chmiel
Retail FX

FCA Warns Brokers against CFDs 'Poor Practices'

  • 80% of retail traders are losing money when investing in CFDs.
  • Some CFD providers are still using practices the FCA disagrees with.
Thursday, 01/12/2022 | 12:31 GMT by Damian Chmiel
Institutional FX

FCA Fines Julius Baer £18 Million for Business Integrity Failure

  • The investment bank agreed to settle with the regulator at an early stage.
  • It also banned three former Julius Baer employees.
Wednesday, 30/11/2022 | 11:58 GMT by Arnab Shome
Retail FX

FCA Wants to Make Financial Advice in UK Less Expensive

  • A growing number of citizens have excess cash to invest.
  • However, the high cost of advice prevents access to professional help.
Wednesday, 30/11/2022 | 10:08 GMT by Damian Chmiel
Retail FX

Eurotrader Boosts UK Presence with FCA License

  • The broker hired several London-based executives in the past few months.
  • Eurotrader gained a license in South Africa last year.
Thursday, 24/11/2022 | 17:31 GMT by Solomon Oladipupo
Retail FX

FCA Warns Trading App Operators to Stop the Trading Gamification

  • The UK’s market watchdog wants trading app creators to review the main design features.
  • According to a recent study, gamification may lead to gambling-like behavior.
Monday, 21/11/2022 | 09:48 GMT by Damian Chmiel
FinTech

FCA Opts for Public Censure of Sonali Bank UK Ex-CEO for AML Failure

  • The UK regulator fined Mohammad Prodhan, the former CEO, £76,400 in 2018.
  • However, the FCA is replacing that as a result of certain 'exceptional circumstances'.
Friday, 18/11/2022 | 17:58 GMT by Solomon Oladipupo
Op-ed
Op-ed
Retail FX
Op-ed
Op-ed

2022, a Year of Tightening Marketing Regulations for Retail Brokers

  • The COVID-19 pandemic saw a significant rise in online investments and digital crimes
  • Several countries have tightened their financial advertising regulations to protect the public
Wednesday, 16/11/2022 | 09:43 GMT by Jonathan Elkin
CryptoCurrency

FCA Has No Good News for FTX Customers

  • The regulator reminds that regulation of cryptos is limited in the UK.
  • Therefore, FTX customers cannot count on broader FCA assistance.
Tuesday, 15/11/2022 | 10:03 GMT by Damian Chmiel
Retail FX

FCA Looks for Innovation Advisory Group Members

  • Senior leaders and stakeholders can apply until 1 December 2022.
  • The advisory body will cover the FinTech and cryptocurrency industries.
Thursday, 10/11/2022 | 10:59 GMT by Damian Chmiel
Retail FX

FCA Blocks Rogue Financial Promotions, including CFDs

  • Retail lending was the most affected industry, due to the financial squeeze.
  • CFDs were among the sectors with the highest amend/withdraw outcomes.
Friday, 04/11/2022 | 11:39 GMT by Damian Chmiel
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