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Showing 111 to 120 of 676 search results for BROKER XM.COM.

  1. First Supervisory Notice 2021: FXBFI Broker Financial Invest Ltd [pdf]

    Supervisory notices Published: 10/05/2021
    This First Supervisory Notice concerns the FCA’s use if its power of intervention in respect of a firm operating post-Brexit under the Temporary Permissions Regime.

  2. FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions

    Press Releases Published: 25/01/2018 Last modified: 25/01/2018
    The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in

  3. Portfolio letter: Wholesale brokers 2023 [pdf]

    Correspondence Published: 11/01/2023
    This letter details our view of the most important risks arising from wholesale brokers, what we think drives those risks, and the FCA’s supervisory focus for the next two years.

  4. Final Notice 2021: Triton Insurance Brokers Ltd [pdf]

    Final notices Published: 19/01/2021
    This final notice refers to a firm no longer having any regulated activities in its permission, in the designated investment business and insurance business sector. We imposed a cancellation.

  5. IBA Markets / International Brokers Association Markets

    Warnings Published: 16/12/2016 Last modified: 16/12/2016
    We have published this statement to warn consumers against dealing with unauthorised firms.

  6. The retail intermediary market 2018

    Data Published: 06/06/2019 Last modified: 16/11/2023
    This page provides the FCA's analysis of the intermediary sector in 2018 based on data drawn from the Retail Mediation Activities Return (RMAR).

  7. International Securities Limited t/a Brokers Station

    Warnings Published: 10/04/2018 Last modified: 10/04/2018
    International Securities Limited t/a Brokers Station is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

  8. SMEs and insurance brokers [pdf]

    Information sheets Published: 28/08/2014 Last modified: 02/09/2014
    SME guide insurance brokers

  9. The retail intermediary market 2019

    Data Published: 23/07/2020 Last modified: 16/11/2023
    This page provides the FCA's analysis of the intermediary sector in 2019 based on data drawn from the Retail Mediation Activities Return (RMAR).

  10. Money laundering and terrorist financing

    Focus areas Published: 02/08/2015 Last modified: 21/02/2023
    Find out more about the regulations and risk-based approach to anti-money laundering.