Tag: Financial Conduct Authority (FCA)
FCA fines PwC £15m over failure to report suspected fraud at...
The Financial Conduct Authority (FCA) has fined Big Four consultancy PricewaterhouseCoopers (PwC) for failing to report to the regulator their belief that London Capital...
IARB welcomes FCA consultation on broadening access to UK bonds
The Investor Access to Regulated Bonds working group (IARB) has met with the UK’s Financial Conduct Authority (FCA), as the regulator mulls broadening access...
FCA rules out wholesale market data action despite higher price drivers
The UK’s Financial Conduct Authority (FCA) has published the findings of its wholesale data market study – ruling out any “significant intervention” on the...
FCA consulting on bond and derivative markets transparency reforms
The UK’s Financial Conduct Authority (FCA) is consulting on proposals to improve the transparency regime for bond and derivative markets.
The consultation, which is open...
FCA tells asset managers to focus on liquidity risk after finding...
The UK’s Financial Conduct Authority (FCA) has told asset managers to increase their focus on liquidity risk, stating gaps in liquidity management could lead...
FCA proposes consolidated bond tape and tightens trading venue perimeter rules
A series of measures to help strengthen the UK’s leading position as a global and vibrant financial centre have been announced by The Financial...
FCA fines three broker firms £4.7 million market abuse failures
The Financial Conduct Authority (FCA) has fined interdealer brokers BGC Brokers, GFI Brokers and GFI Securities £4,775,200 for failing to ensure they had appropriate...
Citi asserts control over any data tied to bilateral client trades
The European credit trading team at Citi has, according to several large asset managers, told buy-side clients the bank owns any data relating to...
FCA to investigate barriers for buy side to access data
The UK’s market regulator, the Financial Conduct Authority (FCA) will launch two market studies and gather further information to investigate access to wholesale data....
BlueCrest hit by £40m fine by FCA
Fund manager BlueCrest has been fined just over £40 million by the UK’s Financial Conduct Authority (FCA) for inadequate disclosures to investors, regarding its...
