As the regulator of the financial sector, the Financial Conduct Authority investigates companies and individuals. Those investigated must take the right steps to protect their assets and reputation.
/ Legal Articles / Financial Conduct Authority (FCA)
After an options broker was fined millions for printing trades, Nicola Sharp of Rahman Ravelli examines the Financial Conduct Authority’s approach to the practice.
By Nicola Sharp
3 December 2020
4 min read
The Financial Conduct Authority has disclosed information about the size of its caseload this year. Syedur Rahman of Rahman Ravelli considers how it is functioning in the pandemic.
By Syedur Rahman 6 November 2020
Syed Rahman of Rahman Ravelli considers the challenges facing the new head of the Financial Conduct Authority
By Syedur Rahman
20 October 2020
4 min read
Financial crime specialists Rahman Ravelli details the Commodity Futures Trading Commission’s current hardline approach to allegations of spoofing. Despite the recent failure of two defendants to have a spoofing indictment dismissed, he bel...
6 October 2020
12 min read
Syedur Rahman of Rahman Ravelli outlines a case that emphasises the important distinction between regulated and unregulated firms regarding pensions advice.
By Syedur Rahman
23 July 2020
2 min read
With the FCA having fined Commerzbank more than £37M for a lack of money laundering controls, Syed Rahman of Rahman Ravelli outlines the regulatory requirements for banks.
By Syedur Rahman
30 June 2020
2 min read
Legal Director Syedur Rahman considers the issues that need to be resolved in crypto-asset-related litigation.
By Syedur Rahman 25 June 2020
Syedur Rahman of Rahman Ravelli on Financial Conduct Authority warnings and the need for compliance.
By Syedur Rahman 16 June 2020
Syedur Rahman of Rahman Ravelli outlines cryptoassets firms’ obligation to register with the FCA before the end of this month.
By Syedur Rahman 16 June 2020
Aziz Rahman of Rahman Ravelli considers the likely effectiveness of new data-sharing measures under the US-UK Bilateral Data Access Agreement
By Azizur Rahman
11 May 2020
2 min read
