Investment
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Data quality review of prudential regulatory reporting by MIFIDPRU investment firms
The FCA’s findings from the review, its expectations, good practice, and areas for improvement.
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Former Carillion chief executive fined $324,150 by FCA for acting recklessly
The senior executive failed “to ensure Carillion communicated effectively with investors and had appropriate internal control processes,” the FCAsaid.
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ASIC launches website to support First Guardian and Shield victims
Under 20% of investors have lodged complaints, so the regulator has taken action.
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FCA says firms must help retail investors understand complex ETP risks
The regulator has raised concerns over some firms having weaker controls, and limited assessment of customers’ experience and knowledge of ETP-associated risks.
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Podcast: Christopher Wimmer on cross-border investments, critical minerals, and compliance in Canada
Vlada Gurvich explores these intricate topics with the New York City based expert in Canadian investment and trade.
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New York, London, and Singapore top city-level ranking of financial hubs
Ranking is based on each city’s ability to adapt to a constantly evolving financial landscape by updating regulations, creating talent pools, and encouraging innovation.
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FCA work in review: December 4-10, 2025
Our weekly roundup of the latest news and developments from the FCA.
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CFD providers may be failing to deliver fair value to consumers, FCA warns
The regulator said there is evidence of good practice too, but that firms can do better in adhering to the Consumer Duty.