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#FCA#

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The Financial Conduct Authority (FCA) is a financial regulatory body in the United Kingdom, but operates independently of the UK Government, and is financed by charging fees to members of the financial services industry.
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监管特辑 | FCA 监管利与“弊”

侦查君在之前开设了一个话题#如何开设FCA监管账户#，收到了很多的小伙伴的解答，很受启发。其中，小呆的分享微博里，向大家介绍了英国FCA监管开设的方法，并以LMAX、Tickmill等交易商为例，大家可以查看 >> 如何开设FCA监管账号之小呆见解。另外，侦查君也有调研入驻社区的交易商如何开设FCA监管账户的方法，如兴业投资，具体可见。 首先还是跟大家科普一下FCA吧。 英国金融市场行为监管局 Financial Conduct Authority（FCA）是英国金融投资服务行业的中央监管机构，负责监管银行、保险以及投资业务。FCA 目前是全世界监管最
监管 套牌 平台 交易商 账户 公司
#WFC# #WFC#

FCA Exposes Crypto and FX Scams, Including Trading 212 Clone

City watchdog has also blacklisted TD Global Finance, InterCryptos, and Money Sense Market The Financial Conduct Authority (FCA) today issued several warnings to local investors highlighting unauthorized firms known to have been soliciting customers in the UK jurisdiction. The regulator also point
The FCA has fined Macquarie Bank Limited - London Branch (MBL) £13m for serious failings that allowed one of its employees to record over 400 fictitious trades. From June 202...
The FCA has started criminal proceedings against 4 individuals for conspiracy to commit false accounting, with 3 of them facing further charges for fraud.  Terry Dodd, John R...
This firm may be providing or promoting financial services or products without our permission. You should avoid dealing with this firm and beware of scams. Almost all firms a...
The FCA has started criminal proceedings against Anthony Hay, Laura Hay, Tim Stewart, Premier Finance GB Ltd and Proserv GBR Limited, for allegedly engaging in unauthorised business.  ...
Speech by Emily Shepperd, FCA chief operating officer, delivered at the UK Sustainable Investment and Finance Association (UKSIF) Leadership Summit, IET London. ...
Project Guardian is an international collaboration of industry and regulators, led by the Monetary Authority of Singapore, that explores the use of fund and asset tokenisation.  ...
Speech by Graeme Reynolds, director of competition, delivered at the Personal Investment Management & Financial Advice Association's (PIFMA) Wealth Vulnerability event. ...
PSG SIPP Limited (PSG SIPP) went into administration on 25 October 2024. Christopher Allen and Adam Stephens of Evelyn Partners have been appointed as joint administrators.  ...
The FCA has placed restrictions on Business Agent Limited. The action follows concerns about the firm’s failings related to its 'Nextcrowd' platform. The move to restrict Bu...
This firm may be providing or promoting financial services or products without our permission. You should avoid dealing with this firm and beware of scams. Almost all firms a...
Speech by Nick Hulme, head of department, advisers, wealth and pensions, consumer investments, delivered at the Consumer Duty Alliance - Future Strategy for Personal Finance Professionals event in Bir...
Asset manager H2O AM LLP (H2O) will pay €250 million to investors unable to access their funds since 2020, following an investigation by the FCA. Between April 2015 and Nove...

FCA称近期公司/资产收购交易增加

英国金融行为监管局（FCA）已发出一封信，概述了其对金融顾问和投资中介机构的期望。 监管机构注意到，过去两年收购公司或公司资产的现象有所增加。虽然行业整合可以带来好处，但如果不以审慎的方式进行，并采取有效的控制措施以取得良好结果，则可能会造成各种损害。 FCA 希望公司能够： 通知监管机构并获得其批准以收购或增加其监管的公司的控制权。确保实现良好成果是公司文化的核心。领导、治理、监督安排和控制应有效、资源充足，并与公司不断增长的规模和复杂性相称。对销售公司或客户银行进行充分的尽职调查。始终持有足够的财务资源。如果收购是通过债务融资的，那么公司应该有一个可靠的计划来偿还债务。这应该得到现实的、经

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