A U.K. regulator, the Financial Conduct Authority (FCA), has imposed a fine of $14.8 million (£12,553,800) upon Citigroup’s international broker-dealer subsidiary for breaches of the Market Abuse Regulation (MAR), a law that requires firms to monitor orders and trades to detect potentia...
FCAhas launched My FCA, a portal from which firms can access a single point of sign in for regulatory reporting tasks. product launch,reporting platform,regulation,FCA,compliance Kraken secures UK EMI authorisation and prepares for IPO in 2026 ...
cooperating with international counterparties on the transition to net-zero emissions and ESG and working with HM Treasury on the Wholesale Markets Review to create an open and transparent framework for international firms
“sustainability”, “impact” and their variations must be used for labelled products only). These unlabelled products must make the same types of disclosures required for labelled products. Firms are also obligated to publish a statement clarifying the ...
International Stock Funds to Buy Here's what the experts have to say when it comes to investing in bond funds for 2025. Tony DongDec. 2, 2024 Fixed-Income Funds to Buy for 2025 Here's a look at the top-performing Fidelity mutual funds of the past decade. Tony DongNov. 25, 2024 Top...
International Stock Funds to Buy U.S. stocks are looking expensive. Diversifying internationally via these funds can potentially help investors unlock better value. Tony DongDec. 5, 2024 Fixed-Income Funds to Buy for 2025 Here's what the experts have to say when it comes to investing in ...
The UK FCA has introduced the Consumer Duty to improve the standard of care provided to retail customers, after continuing to find evidence that they: typically face a weak bargaining position in their relationship with firms; are more susceptible to cognitive and behavioural biases; may lack exper...
The FCA and the GFIN will therefore be launching a virtual TechSprint, hosted on the FCA’s Digital Sandbox, to bring together international regulators, firms and innovators to address sustainable finance as a collective priority. The objective of the TechSprint is to develop a tool or solution ...
ABM Global Compliance provides compliance solutions and compliance support for all financial services firms and prepares API licensing approved by FCA.
The FCA's approach of seeking to prevent ADMISI from conducting business with new or existing high risk customers, until such time as the FCA was satisfied the firm was compliant, is an approach that we have seen the FCA take with other firms across all regulated sectors, including mainstream...