FCA Intensifies Focus on Transaction Reporting and STORs
The Financial Conduct Authority (FCA) has significantly strengthened its surveillance of transaction reporting and Suspicious Transaction and Order Reports (STORs).…
Category Private Banking & Wealth Management
Read MoreFCA Intensifies Focus on Transaction Reporting and STORs
A New Look at Market Conduct
The financial markets thrive on integrity and trust. Regulators, investors, and counterparties expect that prices are formed in fair, transparent,…
CFD’s – FCA turns up the heat on investor protection
The FCA recently warned investors about trading Contracts for Difference (CFDs). When investors use overseas or unregulated providers, they risk…
FOS Fee Reform and FCA Redress Changes
Firms subject to the Financial Ombudsman Service need to keep up with regulatory news, especially in light of FOS fee reform…
FCA Intensifies Focus on Transaction Reporting and STORs Amid Growing Market Abuse Risks
The Financial Conduct Authority (FCA) has significantly strengthened its surveillance of transaction reporting and Suspicious Transaction and Order Reports (STORs),…
5 Key Areas of FCA Focus in 2025 for Wealth Managers
Within the FCA’s Annual Work Programme for 2025/26 Leaman Crellin has identified the following 5 key areas of focus for…