Almost all firms and individuals carrying out financial services activities in the UK have to be authorised or registered by us. This firm is not authorised or registered by us but has been targeting people in the UK, claiming to be an authorised firm....
Two annual SEC staff reports released today highlight the important work of the Office of Credit Ratings in examining and monitoring nationally recognized statistical rating organizations (NRSROs). The reports indicate that the NRSROs made certain…
The Securities and Exchange Commission today charged a California-based couple with orchestrating a nearly billion-dollar Ponzi scheme involving alternative energy tax credits. According to the SEC's complaint, Jeffrey and Paulette Carpoff…
Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised by us.However, some firms act without our authorisation and some knowingly run investment scams.  This firm is not autho...
Chris will take on the Chief Executive role following Andrew Bailey’s departure to become Governor of the Bank of England. Chris is currently the FCA’s Executive Director of Strategy and Competition and an Executive member of the FCA’s B...
The Securities and Exchange Commission today announced that it will host a March 10 conference to focus on municipal securities, which are predominantly owned by Main Street investors and help finance important public projects like schools, roads and…
Almost all firms and individuals carrying out financial services activities in the UK have to be authorised or registered by us. This firm is not authorised or registered by us but has been targeting people in the UK, claiming to be an authorised firm....
Almost all firms and individuals carrying out financial services activities in the UK have to be authorised or registered by us. This firm is not authorised or registered by us but has been targeting people in the UK, claiming to be an authorised firm....
Speaker: Nausicaa Delfas, Executive Director of InternationalEvent: BCLP, LondonDelivered: 23 January 2020Note: this is the speech as drafted and may differ from delivered versionHighlights Brexit withdrawal agreement Bilateral engagement and fina...
In response to this and increasing data availability, the Financial Conduct Authority (FCA) and the Bank of England (BoE) have committed to undertake work to better understand how these developments are driving change in financial markets, including bu...