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Penalties, remediation, and our General Principles
FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London. -
CotextMarkets (Clone of FCA authorised firm)
CotextMarkets (Clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how to -
FCA decides to impose conditions on takeover of Link Group
Following announcements made on Monday 12 September by Link Group to the Australian Securities Exchange and Dye and Durham to the Toronto Stock Exchange, the FCA is providing a short update on its involvement in the proposed takeover of the Link -
Andrew Bailey speech at Lord Mayor’s City Banquet
Andrew Bailey speech at the Lord Mayor's City Banquet at Mansion House. -
Our Business Plan 2019/20
The FCA annual Business Plan gives details of the key priorities and the planned specific activities for 2019/20. -
Alexander David Securities Limited enters liquidation
On 1 July 2022 Alexander David Securities Limited (ADSL) entered creditors’ voluntary liquidation and Shane Cooks, Emma Sayers and Malcolm Cohen of BDO LLP were appointed as joint liquidators. -
Firms now need to update or confirm their Firm Details annually
From 31 January 2020, firms that come under Sup 16.10 reporting requirements have to check, amend or confirm the accuracy of their Firm Details annually, using the FCA’s Connect portal. -
Swinexmarkets (Clone of FCA Authorised Firm)
Swinexmarkets (Clone of FCA Authorised Firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how to -
Investigation opening criteria
Factors we consider when deciding to open an investigation, including how we assess serious misconduct. -
SafeBTCCompany (Clone of FCA Authorised Firm)
SafeBTCCompany (Clone of FCA Authorised Firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how to