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Showing 23 to 32 of 229 search results for market watch 69.

  1. Market watch newsletters

    Our Market Watch newsletter looks at market abuse risks, transaction reporting, suspicious transaction and order reporting, and other market conduct issues. It can help regulated firms and other non-regulated market users understand more about these areas and relevant practices to consider.

  2. Financial Services Register

    To look up details of firms, use The Financial Services Register. The register is a public record that shows details of firms, individuals and other bodies that are, or have been, regulated by the Prudential Regulation Authority (PRA) and/or the Financial Conduct Authority (FCA).

  3. Four men under investigation on suspicion of multiple offences

    Press Releases Published: 14/02/2024 Last modified: 14/02/2024
    The FCA and National Crime Agency (NCA) conducted a major operation to arrest 3 London based individuals.

  4. Information on transaction reporting under MiFIR - May 2022

    FOI Release Date of Release: 11/05/2022
    The FCA answers questions regarding transaction reporting under MiFIR.

  5. Payment for order flow multi-firm review findings

    Multi-firm reviews Published: 23/04/2019 Last modified: 23/04/2019
    This final report on our recent supervisory work on conflicts of interest and payment for order flow (PFOF) follows the preliminary findings published in Market Watch 56 in September 2018.

  6. Information on fines for lack of voice recording compliance - March 2022

    FOI Release Date of Release: 14/03/2022
    The FCA provides information on fines for lack of voice recording compliance.

  7. FCA response to the independent panels’ annual reports

    Corporate documents Published: 01/02/2024 Last modified: 07/02/2024
    In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports.

  8. FCA decides on £5.95m fine and industry ban for Nailesh Teraiya in latest cum-ex case

    Press Releases Published: 18/03/2024 Last modified: 18/03/2024
    Mr Teraiya has referred his Decision Notice to the Upper Tribunal. Any findings in the Decision Notice are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers his behaviour should be characterised.

  9. Market Watch 65: Newsletter on market conduct and transaction reporting issues [pdf]

    Newsletters Published: 07/09/2020 Last modified: 07/09/2020
    This Market Watch we discuss how inappropriate handling of information requirements issued by FCA.

  10. Market Watch issue 63: market conduct and discipline in context of coronavirus [pdf]

    Newsletters Published: 27/05/2020
    This edition of Market Watch provides important information to market conduct and discipline in context of coronavirus.

  11. Market Watch 54 [pdf]

    Newsletters Published: 08/11/2017
    The FCA’s Market Watch newsletter periodically considers current market conduct and transaction reporting issues.

  12. Market Watch issue 64: market conduct and Brexit and MiFID II transaction reporting issues [pdf]

    Newsletters Published: 27/08/2020 Last modified: 27/08/2020
    This edition of Market Watch provides important information to help MiFID II firms prepare for the end of the transition period.