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Financial Conduct Authority
Jan 292 min read
FCA issues first fine for transaction reporting failures under MiFIR
Infinox Capital Limited (Infinox) has been fined £99,200 by the FCA for failing to submit 46,053 transaction reports which risked market...
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Financial Conduct Authority
Jan 232 min read
FCA review finds gaps remain in brokers’ money laundering defences
The FCA has found wholesale brokers need to enhance their systems, controls, risk awareness and training to guard against money...
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Financial Conduct Authority
Jan 103 min read
FCA fines Arian Financial LLP £288,962.53 for failings relating to cum-ex trading
The FCA has fined Arian Financial LLP (Arian) £288,962.53 for failing to ensure it had effective systems and controls against financial...
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