Laura WilesThe FCA has published Handbook Notice 139, which sets out a number of changes, most of which we’ve reported on elsewhere, including: As part of redress reforms, amends to clarify when firms should report emerging...
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FCA fines investment firm over market abuse controls failure
The FCA has fined investment firm Dinosaur Merchant Bank Limited £338k for failing to implement systems and controls to detect and reporting suspicious trading in its CFD business. In June 2024, Dinosaur Merchant Bank...
