Tag Archives: FSA
Among the world’s most notable and established financial regulators, the Financial Services Authority (FSA) presided over the United Kingdom’s financial sector for 28 years. This week, however, the long-standing regulator has officially ceased to exist, handing regulatory responsibility back to …
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FXOpen, one of the world’s largest MT4 brokers, was just granted an FSA license. Company briefly stated the following: LONDON, March 25, 2013 – FXOpen, a leading forex broker, announced a major development in its global business – FXOpen Ltd, …
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The Financial Services Authority has brought charges in the UK against an individual for acting upon inside information and generating a net profit of £591,117 from trading between September 2007 and July 2008. 43 year old Richard Joseph has been …
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Some of the world’s largest banks will soon publish more details on how much capital will be required to be held in a given corporate account to protect themselves against future losses. This has come about as a result of …
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FXCM disclosed in a quarterly SEC filing that the U.K. Financial Services Authority (FSA) launched an inquiry into the firm’s past trade execution practices. In the filing the company stated that: “Although we are in the process of complying with …
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The Financial Services Authority (FSA) has fined two firms, Plus500UK Limited (Plus500) £205,128 and James Sharp and Company (James Sharp) £49,000 for failing to provide accurate and timely transaction reports to the FSA in respect of all the reportable transactions …
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Four men have been charged by the Financial Services Authority (FSA) with conspiracy to insider deal between 1st November 2006 and 23rd March 2010. Martyn Dodgson, a senior corporate broker, Andrew Hind, Benjamin Anderson and Iraj Parvizi have been bailed …
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The Financial Services Authority (FSA) has charged Benjamin Edward Weymouth Wilson of Bournemouth, Dorset, with seven offences relating to an unauthorised investment scheme he operated. Mr Wilson, trading as SureInvestment, operated a scheme that purported to carry out futures trading …
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The Financial Services Authority (FSA) has fined BlackRock Investment Management (UK) Limited (BIM) £9,533,100 for failing to protect client money adequately by not putting trust letters in place for certain money market deposits, and for failing to take reasonable care …
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