Tag: Financial Conduct Authority (FCA)
FCA fines former BAML bond trader for spoofing
By Flora McFarlane.
The UK’s Financial Conduct Authority (FCA) has fined a former Bank of America Merrill Lynch bond trader £60,090 for engaging in market...
FCA warns on permissions needed for MiFID II
By Sobia Hamid.
Firms who need to change their regulatory permissions as a result of MiFID II, in effect from 3 January 2018, are advised...
Asset managers ‘not investment firms’ under MiFID II?
By Flora McFarlane & Dan Barnes.
Several European investment managers have reportedly claimed that they will not be classified as investment firms under the revised...
