FCA Market Watch 48
-
FCA says that misleading market communication practices persist
The FCA has highlighted continuing concern about ‘flying’ and ‘printing’ and the failure of firm management to deal effectively with both practices.
-
Trade surveillance failures lead to £4.7m in fines for three broker firms
BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited fined by the FCA for failing to adequately safeguard against potential market abuse.