Financial Conduct Authority (FCA)


US CFTC and UK regulator join forces to promote innovation in fintech

The UK Financial Conduct Authority (FCA) and the US Commodity Futures Trading Commission (CFTC) have signed an arrangement to collaborate and support innovative financial technology (fintech) firms through each other’s initiatives.

Phase out of Libor has little or no effect on structured finance transactions tied to benchmark

With Libor and other inter-bank offered rate (IBOR) benchmarks expected to end in 2021, transactions tied to them may not be impacted, according to a report by S&P Global Ratings.

FCA dark pool study reveals level of stale prices impact on venues

Dark pool reference prices are sometimes stale in every dark pool in a sample research conducted by the UK Financial Conduct Authority (FCA).

UK regulator to put asset managers under the microscope with market study

Asset managers will face close scrutiny from the UK’s Financial Conduct Authority (FCA) in a study to assess practices and competition in the sector, the regulator has announced.

FCA says financial firms must improve benchmark risk controls or face more scrutiny

Financial services firms must significantly improve their governance and controls of benchmark activities or face closer regulatory scrutiny, says the UK Financial Conduct Authority (FCA).

CFOs concerned about changing regulations and European research unbundling

Changing financial rules and regulations are the most pressing issue on the minds of chief financial officers (CFOs) at leading US hedge funds, according to a survey by ITG.

Firms face higher penalty costs as global regulators fight misconduct

Global regulators will continue to increase penalties in their battle against market misconduct, according to a survey by Kinetic Partners, part of consulting and advisory firm Duff & Phelps.

Asset management industry technology not fit for purpose

The investment management industry continues to be over-reliant on technology that is not fit for purpose, according to a report by SimCorp.