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Primary Market Bulletin 44
This edition covers diversity and inclusion, when a prospectus is required in Schemes of Arrangement and regulatory news with multimedia content. -
FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures
The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd (CSUK) £8.96 million for failing to adequately protect client assets, carrying out a regulated activity without permission and making a false statement to the FCA. -
Our supervision overview
Speech by Clive Adamson, Director of Supervision, the FCA, at the General Insurance conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Profitstrade / Profits Trade
Profitstrade / Profits Trade is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals. -
Vickers Equities & Research
We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself. -
Gatebits (Clone of FCA Authorised Firm)
Gatebits (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 protect -
FCA and ICO publish joint update on GDPR
The Financial Conduct Authority (FCA) and the Information Commissioners Office (ICO) have today published an update on the EU General Data Protection Regulation (GDPR). -
Insider dealing convictions upheld by the Court of Appeal
The Court of Appeal (Criminal Division) upheld the convictions of Fabiana Abdel-Malek and Walid Choucair for insider dealing. -
Transaction reporting
We use transaction reports to detect and investigate suspected market abuse. Find out more about the submission of transaction reports and the data they should contain. -
Securities Trading Board
We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself.