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Prime Brokerage
FCA Plans to Ban Former Barclays Executive After Whistleblower Alert
2016-09-14T11:58:11.000+02:00
The FCA's Decision Notice states that Andrew Tinney should be banned from carrying out senior management roles.
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Regulation
UK FCA Reports 19 Percent Fall In Whistleblowing Reports in 2015
2016-09-07T08:35:49.000+02:00
The drop in whistleblowing reports in 2015 reflects the need for a culture shift.
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Regulation
FCA Warns Against ECN Markets and CMS Trader
2016-08-26T18:20:13.000+02:00
Neither company claims any specific regulatory status but they are still unauthorized to target UK residents.
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Regulation
FCA Warns on Clone Firm Pretending to be Interactive Brokers
2016-08-26T14:34:58.000+02:00
The FCA has warned against IBL Markets, a clone of the established FCA-regulated brokerage.
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Brokers
FCA Exposes Clone Company ADVinvest for Using Authorised Firm’s Details
2016-08-25T17:08:27.000+02:00
The unauthorized firm claims the same address as the legitimate company to defraud investors more easily.
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Aziz Abdel-Qader
Regulation
FCA Warns Public that Trade-24 is not Authorised
2016-08-24T17:30:17.000+02:00
The company claims to offer ECN access to forex market using various trading platforms.
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Regulation
UK FCA Issues Warning Against Elite Trader Pro
2016-08-24T09:34:18.000+02:00
The FCA has issued a warning to investors against using the services of another unlicensed financial services firm.
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SEC Orders Providence Financial to Stop Trading after UK Investors Lose £7m
2016-08-22T14:30:56.000+02:00
The US firm has been accused of selling fraudulent securities and ordered to stop trading.
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Regulation
Scottish Shell Firms Fronting for Unlicensed Binary Options Websites
2016-08-16T12:03:20.000+02:00
Firms formally registered in Scotland are being given as contacts for binary options websites condemned as scams.
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Regulation
FCA Issues Warning on Morgan Stanley Clone
2016-08-15T13:04:16.000+02:00
The FCA has warned against Morgan Stanley/Morgan Stanley & Co Ltd, a clone of an FCA-regulated firm.
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Jeff Patterson
Regulation
UK FCA Issues Warning Against Forex Broker Inter Global
2016-08-04T18:52:02.000+02:00
The FCA has warned against another unlicensed entity for soliciting its forex services to UK investors.
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Regulation
FCA Warns Against Clone Firm Baumer Mansoor Financial Advisory
2016-08-01T20:38:40.000+02:00
The UAE-based company uses the reference number of a genuine firm to defraud investors more easily.
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Regulation
UK FCA Highlights Steps Companies Need to Take to Fix FX Fixings Damage
2016-07-28T13:11:29.000+02:00
In light of the recent probes into the conduct of the foreign exchange market, the FCA is looking to encourage vigilance.
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Regulation
FCA Warns Public that Bit Management is not Authorised
2016-07-27T18:52:57.000+02:00
bit-invest.com purports to be registered in the United Kingdom, but it is in fact a HYIP Ponzi scheme.
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Regulation
UK Treasury Committee Calls for Breakup of FCA After HBOS Failings
2016-07-26T15:45:39.000+02:00
By having two separate regulators the Treasury Committee says that enforcement will always be given priority by one regulator.
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Independent Report Criticizes FCA on Post-Crisis Softness
2016-07-21T16:37:24.000+02:00
The commissioner overseeing complaints against the FCA calls out the UK financial regulator for being too defensive.
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Regulation
FCA Says Banks Must Still Adhere to EU Rules
2016-07-19T13:31:11.000+02:00
The FCA has said that all European Union rules will apply until there is clarity on future relations.
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Brokers
Exclusive: HY Markets Rebrands as HYCM, to Launch New Website
2016-07-17T13:09:27.000+02:00
Starting Monday, clients of HY Markets will be referred to the new HYCM site and trading platforms.
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Regulation
FCA Loses Identity Case Against London Whale Assistant, UK Tribunal Rules
2016-07-13T18:22:07.000+02:00
A London Tribunal has cited improper disclosure of Julien Grout.
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Regulation
FCA Warns about Binary Options Brokerage Limited Binary
2016-07-12T18:25:45.000+02:00
FCA warns that Limited Binary acts without an authorisation, contrary to its claims.
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Analysis
Analysis: UK Financial Industry Prospects Under Theresa May's Leadership
2016-07-11T20:24:05.000+02:00
What has really changed for the United Kingdom with the election of the new Conservative leader?
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FCA Warns on Clone Firm Which Pretends to be GO Markets UK Trading Limited
2016-07-11T17:49:07.000+02:00
Go Markets UK Trading Limited is the original holder of the brand which is fully FCA authorized
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GO Markets UK Rebrands to INFINOX
2016-07-11T10:20:47.000+02:00
INFINOX will keep all existing partnerships of the brokerage as it embarks on building its own brand.
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Brokers
London Based Templeton Securities Expands into FX and CFDs via TempletonFX
2016-07-07T18:54:17.000+02:00
Templeton Securities has launched its subsidiary TempletonFX to tap into the forex and CFDs trading markets
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Brokers
LCG Confirms Positive Outcome from Brexit, Receives FCA Regulatory Fees Query
2016-07-06T08:41:35.000+02:00
London Capital Group Holdings plc has received a query from its regulatory authority, which at present is only the FCA.
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