FCA News

Aragon Loans

Almost all firms and individuals carrying out financial services activities in the UK have to be authorised or registered by us. This firm is not authorised or registered by us but has been targeting people in the UK, claiming to be an authorised firm. This is what we call a ‘clone firm’; and fraudsters usually […]

FCA News

FCA sets out its priorities for 2019/20

As the UK finalises preparations to leave the European Union, the immediate priority will remain supporting an orderly transition post-exit. The FCA will also continue to play a leading role in shaping the global regulatory framework working with other national regulators and international bodies. The Business Plan outlines four ongoing cross-sector priorities: Work on firms’ […]

Regulatory News

Policymakers must look beyond the short-term horizon of the macro-financial cycle and ensure financial and fiscal resilience against tail risks – Governor Philip R. Lane

16 April 2019 Press Release Imperative to build the resilience of both the financial system and the public finances against tail risks. As the national macroprudential authority, the Central Bank has requested the power to activate the Systemic Risk Buffer from the Minister for Finance.  Systemic Risk Buffer […]

SEC News

SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019

The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2019 National Compliance Outreach Program for Broker-Dealers, which will be held June 27, 2019, in Chicago. The program is designed to provide an open forum for regulators and industry professionals including compliance, internal audit, and other senior personnel of broker-dealer firms […]