Enforcement Case Highlights

Posted on 26 January 2021

First FCA Enforcement Action for Breach of Short Selling Disclosure Regulations - read more

FCA Fine TFS-ICAP £3.4m for "printing"- read more

FCA Fines Barclays £26m over Treatment of Customers in Financial Difficulty- read more

FCA fines Charles Schwab £8.96m for client asset failures- read more

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